Scott E. Mccaffrey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Edward Mccaffrey, who also goes by Scott Edward Mccaffrey, Scott E Mccaffrey, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 11 firms and has passed the Series 66, Series 63, Series 6TO, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2025 - June 15, 2026
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 6, 2025 - June 15, 2026
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 29, 2023 - November 29, 2023
CITIZENS SECURITIES, INC.
July 19, 2016 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 19, 2016 - January 11, 2021
TD AMERITRADE, INC.
July 19, 2016 - January 11, 2021
TD AMERITRADE, INC.
April 17, 2015 - June 27, 2016
PNC WEALTH MANAGEMENT LLC
April 17, 2015 - June 27, 2016
PNC WEALTH MANAGEMENT LLC
October 9, 2013 - April 9, 2015
SCOTTRADE, INC.
September 7, 2012 - October 18, 2013
TD AMERITRADE, INC.
September 7, 2012 - October 18, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 6, 2012 - October 18, 2013
TD AMERITRADE, INC.
April 11, 2011 - August 10, 2012
HATTERAS INVESTMENT PARTNERS LLC
April 11, 2011 - August 10, 2012
HATTERAS CAPITAL DISTRIBUTORS, LLC
June 17, 2010 - April 1, 2011
TD AMERITRADE, INC.
June 17, 2010 - April 1, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 17, 2010 - April 1, 2011
TD AMERITRADE, INC.
June 15, 2005 - June 15, 2010
KESTRA INVESTMENT SERVICES, LLC
June 15, 2005 - June 15, 2010
KESTRA INVESTMENT SERVICES, LLC
October 19, 2004 - June 8, 2005
CHARLES SCHWAB & CO., INC.
January 23, 1998 - June 8, 2005
CHARLES SCHWAB & CO., INC.
May 2, 1997 - November 6, 1997
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472 / SEC#: 801-63550, 8-44454
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 9/29/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 7/16/2023
General Securities Representative ExaminationCurrent Firm
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472 / SEC#: 801-63550, 8-44454
Contact information
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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
