Toi W. Bennett
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.
Toi Westel Bennett, who also goes by Toi Westell Anderson, Toi Anderson-bennett, Toi Westel Andersonbennett, was a registered financial professional .
Toi is a previously registered financial professional and started their career in finance in 1996. Toi had worked at 9 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2008 - October 30, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 4, 2008 - October 30, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 12, 2007 - November 28, 2007
MUTUAL OF AMERICA SECURITIES LLC
September 12, 2007 - November 28, 2007
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
July 6, 2006 - October 4, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 19, 2006 - October 4, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 9, 2002 - November 2, 2004
OSAIC FA, INC.
April 9, 2002 - November 2, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 9, 2002 - November 2, 2004
OSAIC FA, INC.
March 30, 2001 - August 30, 2001
MORGAN STANLEY DW INC.
October 8, 1996 - June 2, 2000
METROPOLITAN LIFE INSURANCE COMPANY
October 8, 1996 - June 2, 2000
MSI FINANCIAL SERVICES, 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
Current 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 |
|---|---|---|
| 01/23/2025 | ||
| 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.
