Scott E. Mccaffrey

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES

Pittsburgh, PA 15206

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CRD#: 2769635

Professional summary

Scott Edward Mccaffrey, who also goes by Scott Edward Mccaffrey, Scott E Mccaffrey, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Pittsburgh, Pennsylvania.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Scott has 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

Are you a "fiduciary"?

Yes

Aliases

Scott Edward Mccaffrey | Scott E Mccaffrey

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Edward Mccaffrey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Scott Edward Mccaffrey's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 7, 2025 - Present

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Office #1: 141 South St. Clair Street Suite 202, Pittsburgh, PA 15206

RIA

CRD#: 20472

Pittsburgh, PA

Current

November 6, 2025 - Present

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Office #1: 141 South St. Clair Street Suite 202, Pittsburgh, PA 15206

RIA

CRD#: 20472

Pittsburgh, PA

Past

September 29, 2023 - November 29, 2023

CITIZENS SECURITIES, INC.

CRD#: 39550

Pittsburgh, PA

Past

July 19, 2016 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Pittsburgh, PA

Past

July 19, 2016 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

PITTSBURGH, PA

Past

July 19, 2016 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

PITTSBURGH, PA

Past

April 17, 2015 - June 27, 2016

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PITTSBURGH, PA

Past

April 17, 2015 - June 27, 2016

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

October 9, 2013 - April 9, 2015

SCOTTRADE, INC.

CRD#: 8206

ST. LOUIS, MO

Past

September 7, 2012 - October 18, 2013

TD AMERITRADE, INC.

RIA

CRD#: 7870

PITTSBURGH, PA

Past

September 7, 2012 - October 18, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

PITTSBURGH, PA

Past

September 6, 2012 - October 18, 2013

TD AMERITRADE, INC.

CRD#: 7870

PITTSBURGH, PA

Past

April 11, 2011 - August 10, 2012

HATTERAS INVESTMENT PARTNERS LLC

RIA

CRD#: 128703

RALEIGH, NC

Past

April 11, 2011 - August 10, 2012

HATTERAS CAPITAL DISTRIBUTORS, LLC

CRD#: 143365

RALEIGH, NC

Past

June 17, 2010 - April 1, 2011

TD AMERITRADE, INC.

RIA

CRD#: 7870

CARY, NC

Past

June 17, 2010 - April 1, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

CARY, NC

Past

June 17, 2010 - April 1, 2011

TD AMERITRADE, INC.

CRD#: 7870

CARY, NC

Past

June 15, 2005 - June 15, 2010

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

DURHAM, NC

Past

June 15, 2005 - June 15, 2010

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

DURHAM, NC

Past

October 19, 2004 - June 8, 2005

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

CHAPEL HILL, NC

Past

January 23, 1998 - June 8, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 2, 1997 - November 6, 1997

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472 / SEC#: 801-63550, 8-44454

RIA

Registered Investment Advisory firm - SEC (9/24/2004 Approved)

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.

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

Kentucky
(11/6/2025)

Michigan
(11/6/2025)

New Jersey
(11/6/2025)

Ohio
(11/6/2025)

Pennsylvania
(11/7/2025)

IAR

Pennsylvania
(11/7/2025)

West Virginia
(11/13/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/14/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 9/29/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 7/16/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/16/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/16/2023

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472 / SEC#: 801-63550, 8-44454

RIA

Registered Investment Advisory firm - SEC (9/24/2004 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVICE & PLANNING SERVICES PORTFOLIO ADVISOR WRAP FEE PROGRAM - OCTOBER 20, 2025 (10/16/2025)

ADVICE & PLANNING SERVICES PRIVATE ASSET MANAGEMENT PROGRAM - AUGUST 26, 2025 (8/26/2025)

ADVICE & PLANNING SERVICES TIAA PERSONAL PORTFOLIO WRAP FEE PROGRAM - MARCH 28, 2025 (3/26/2025)

TC SERVICES ADVICE & PLANNING SERVICES DISCLOSURE BROCHURE - MARCH 28, 2025 (3/26/2025)

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	Cover Page	Report
12/13/2023	Cover Page	Report
03/21/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Scott E. Mccaffrey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Edward Mccaffrey's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Scott Edward Mccaffrey's CRS (Customer Relationship Summary).

Certified licenses

Experience

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CITIZENS SECURITIES, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

SCOTTRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

HATTERAS INVESTMENT PARTNERS LLC

HATTERAS CAPITAL DISTRIBUTORS, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2023

Series 63

Date: 3/24/1997

Series 6TO

Date: 9/29/2023

Series 7TO

Date: 7/16/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1997

Series 10

Date: 7/16/2023

Series 9

Date: 7/16/2023

FINRA

Current Firm

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TRUST BUT VERIFY

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