JW
John J. Walzer
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Tuckahoe, NY
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CRD#: 2663848
JW
Professional summary
John Joseph Walzer III, who also goes by John Joseph Walzer III, John Joseph Walzer, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Tuckahoe, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Joseph Walzer Iii | John Joseph Walzer
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
EASTCHESTER TRAFFIC AND PARKING ADVISORY COMMITTEE POSITION: board member NATURE: Eastchester Traffic and Parking Advisory Committee is an advisory board that discusses and reviews issues related to parking and traffic within the town of Eastchester NY. Suggestions are passed along to the town board INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: 40 mill road, Eastchester NY 10707, United States DESCRIPTION: monthly meetings to answer questions from the public and define implementation strategies
CRS (Client Relationship Summary) - RIA
Click below to view John Joseph Walzer III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Joseph Walzer III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 17, 2017 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 225 High Ridge Road Suite# 115, Stamford, CT 06905RIA
BD
CRD#: 20472
Tuckahoe, NY
Current
November 17, 2017 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 225 High Ridge Road Suite# 115, Stamford, CT 06905RIA
BD
CRD#: 20472
Stamford, CT
Past
December 23, 2013 - September 25, 2017
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
GREENWICH, CT
Past
November 11, 2013 - September 21, 2017
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENWICH, CT
Past
September 4, 2012 - July 1, 2013
VIRTU ITG LLC
BD
CRD#: 29299
NEW YORK, NY
Past
March 24, 2010 - January 9, 2012
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
December 6, 2007 - May 10, 2010
PALI CAPITAL, INC.
BD
CRD#: 117783
NEW YORK, NY
Past
June 7, 2004 - November 30, 2007
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
August 5, 2003 - November 2, 2004
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
November 5, 2002 - May 27, 2003
EKN FINANCIAL SERVICES INC.
BD
CRD#: 113525
MELVILLE, NY
Past
November 9, 2000 - November 14, 2002
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
April 1, 1996 - November 6, 2000
HERZOG, HEINE, GEDULD, LLC
BD
CRD#: 2186
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TI
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
ADVICE & PLANNING SERVICES | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. | TIAA-CREF BROKERAGE SERVICES | TIAA-CREF ADVICE AND PLANNING SERVICES | COLLEGE RETIREMENT EQUITIES FUND | ADVICE AND PLANNING SERVICES
CRD#: 20472 / SEC#: 801-63550, 8-44454
RIA
Registered Investment Advisory firm - SEC (9/24/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/4/2022)
RR
California(7/10/2020)
RR
Connecticut(11/17/2017)
IAR
Connecticut(11/17/2017)
RR
Delaware(6/10/2019)
RR
District of Columbia(2/22/2024)
RR
Florida(11/17/2017)
RR
Iowa(4/22/2022)
RR
Maine(7/16/2020)
RR
Massachusetts(2/8/2022)
RR
New Jersey(4/24/2020)
RR
New York(11/17/2017)
IAR
New York(6/21/2024)
RR
North Carolina(9/17/2019)
RR
Ohio(6/14/2024)
RR
South Carolina(7/7/2023)
RR
Virginia(5/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/20/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
ADVICE & PLANNING SERVICES | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. | TIAA-CREF BROKERAGE SERVICES | TIAA-CREF ADVICE AND PLANNING SERVICES | COLLEGE RETIREMENT EQUITIES FUND | ADVICE AND PLANNING SERVICES
CRD#: 20472 / SEC#: 801-63550, 8-44454
RIA
Registered Investment Advisory firm - SEC (9/24/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
730 Third Avenue, New York, NY 10017-3206
Mailing Address
8500 Andrew Carnegie Boulevard Mail Stop Ssc/c2/08, Charlotte, NC 28262-8500
Phone number
(704) 988-3565
Established
Delaware since 01/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,319
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | SOLE OWNER OF APPLICANT | |
| ABBOTT, ROSS HAMLET | PRESIDENT, CEO (INTERIM), CHIEF OPERATING OFFICER, ELECTED MANAGER | 2756063 |
| BARNHILL, HELEN GWYN | CHIEF LEGAL OFFICER | 2574877 |
| BELLUCCI, RAYMOND JOHN | ELECTED MANAGER | 1807977 |
| HEASLIP, DEREK JAMES | ELECTED MANAGER | 6318596 |
| INTIHAR, JEREMY ROSS | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 5040823 |
| LEWIS, BENJAMIN HERBERT | ELECTED MANAGER | 1687894 |
| MANGANO, JENNIFER LYNN | CHIEF FINANCIAL OFFICER | 7659359 |
| MUKHERJEE, NILADRI | ELECTED MANAGER | 5227234 |
| SARAVANAN, SHANKAR | VICE PRESIDENT, ELECTED MANAGER | 7789140 |
| STICKROD, CHRISTOPHER EUGENE | ELECTED MANAGER | 4627958 |
| WEINSTEIN, SCOTT WILLIAM | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 4324014 |
Regulatory assets under management
| Total Number of Accounts | 72,807 |
| AUM (Assets Under Management) | $ 34,343,329,152 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/13/2023 | ||
| 03/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472Tuckahoe, NYTRUST BUT VERIFY
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Contact information
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