CP
Carlon D. Parks
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Thornton, CO
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CRD#: 2876158
CP
Professional summary
Carlon Duane Parks, CFP®, who also goes by Carlon Duane Parks, Duane Parks, Duane Parks, Carlon Parks, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Thornton, Colorado.
Carlon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Carlon has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlon Duane Parks | Duane Parks | Duane Parks | Carlon Parks
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.
Name: Rental Position: Owner Nature: This is a townhome that I own and converted into a rental property. Investment Related: Yes Hours: 0 Securities Trading Hours: 0 Start Date: 11/10/2020 Address: 14251 E. Dickinson Drive, Unit #C, Aurora CO 80014, United States Description: I am the owner of the rental property. I pay a property manager to handle all management duties
CRS (Client Relationship Summary) - RIA
Click below to view Carlon Duane Parks'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®
Experience
Current
August 26, 2025 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 1670 Broadway, Suite 3300 Denver Regional, Denver, CO 80202-5602RIA
BD
CRD#: 20472
Thornton, CO
Past
July 13, 2018 - September 5, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BOSTON, MA
Past
May 17, 2018 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
GREENWOOD VILLAGE, CO
Past
May 16, 2018 - September 4, 2019
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENWOOD VILLAGE, CO
Past
August 8, 2013 - October 5, 2017
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
GREENWOOD VILLAGE, CO
Past
July 29, 2013 - October 4, 2017
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENWOOD VILLAGE, CO
Past
May 18, 2006 - June 10, 2013
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ENGLEWOOD, CO
Past
November 15, 1999 - June 10, 2013
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ENGLEWOOD, CO
Past
November 17, 1997 - March 4, 1998
NATIONAL CLEARING CORP.
BD
CRD#: 14343
SHERMAN OAKS, CA
Past
May 23, 1997 - September 11, 1997
BILTMORE SECURITIES, INC.
BD
CRD#: 25023
FT. LAUDERDALE, FL
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.Highlighted states indicate IAR registrations
IAR
Colorado(8/26/2025)
IAR
Texas(10/29/2025)
IAR
Vermont(10/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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.
