DU
Diana E. Urichich
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Charlotte, NC
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CRD#: 2742227
DU
Professional summary
Diana Enid Urichich, who also goes by Diana Enid Perez, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Charlotte, North Carolina.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Diana has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diana Enid Perez
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.
NATIONAL SOCIETY OF HISPANIC MBAS POSITION: Chapter Membership Officer NATURE: Prospanica has advocated for Hispanic business professionals for 30 years. Since our founding as the National Society of Hispanic MBAs in 1988, we've hosted annual career and professional development conferences, connecting thousands of Hispanics to graduate programs, subject matter experts, corporations, and each other. Prospanica has given over $8 million in scholarships for graduate education, and many of those recipients have led our professional chapters and university chapters across the US and Puerto Rico, advancing diversity causes in their own communities. In 2016, as Hispanics continued to occupy a growing portion of the nation's demographics, we rebranded as Prospanica to broaden our mission to serve all Hispanic professionals. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/07/2009 ADDRESS: 11700 PRESTON RD. STE 660 #354, DALLAS TX 75230, United States DESCRIPTION: Chapter Membership OfficerCreates plans, manages and carries out activities designed to deepen the value of membership for both institutions and individuals. Set goals for membership retention and membership growth (i.e. professional and student). Develops localized Membership retention and satisfaction strategies Develops relevant communications with Chapter Marketing Officer for each member audience using both traditional and electronic means. Develops programs that provide meaningful member-specific benefits. Shall solicit volunteer coordinators and committees to assist with Chapter membership activities. Shall work with the national office on all membership related activities. Keeps President and board informed on a timely basis of all items/issues surrounding "membership"
CRS (Client Relationship Summary) - RIA
Click below to view Diana Enid Urichich's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diana Enid Urichich'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
August 15, 2016 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
BD
CRD#: 20472
Charlotte, NC
Current
April 25, 2016 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Trac, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
June 8, 2011 - March 24, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
November 14, 2000 - January 8, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
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
Alabama(4/28/2016)
RR
Alaska(4/28/2016)
RR
Arizona(4/28/2016)
RR
Arkansas(4/28/2016)
RR
California(4/28/2016)
RR
Colorado(4/28/2016)
RR
Connecticut(4/28/2016)
RR
Delaware(4/28/2016)
RR
District of Columbia(4/28/2016)
RR
Florida(4/28/2016)
RR
Georgia(4/28/2016)
RR
Hawaii(4/28/2016)
RR
Idaho(4/28/2016)
RR
Illinois(4/28/2016)
RR
Indiana(4/28/2016)
RR
Iowa(4/28/2016)
RR
Kansas(4/28/2016)
RR
Kentucky(4/28/2016)
RR
Louisiana(4/28/2016)
RR
Maine(4/28/2016)
RR
Maryland(4/28/2016)
RR
Massachusetts(4/28/2016)
RR
Michigan(4/28/2016)
RR
Minnesota(4/28/2016)
RR
Mississippi(4/28/2016)
RR
Missouri(4/28/2016)
RR
Montana(4/28/2016)
RR
Nebraska(4/28/2016)
RR
Nevada(4/28/2016)
RR
New Hampshire(4/28/2016)
RR
New Jersey(4/28/2016)
RR
New Mexico(4/28/2016)
RR
New York(4/28/2016)
RR
North Carolina(4/25/2016)
IAR
North Carolina(8/15/2016)
RR
North Dakota(4/28/2016)
RR
Ohio(4/28/2016)
RR
Oklahoma(4/28/2016)
RR
Oregon(4/28/2016)
RR
Pennsylvania(4/28/2016)
RR
Puerto Rico(11/22/2023)
RR
Rhode Island(4/28/2016)
RR
South Carolina(4/28/2016)
RR
South Dakota(4/28/2016)
RR
Tennessee(4/28/2016)
RR
Texas(4/28/2016)
RR
Utah(4/28/2016)
RR
Vermont(4/28/2016)
RR
Virginia(4/28/2016)
RR
Washington(4/28/2016)
RR
West Virginia(4/28/2016)
RR
Wisconsin(4/28/2016)
RR
Wyoming(4/28/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
