TJ
Tricia L. Jones
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Frisco, TX 75034
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CRD#: 2882832
TJ
Professional summary
Tricia Lee Jones, who also goes by Tricia Lee Jones, Trish Jones, Tricia L Jones, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Frisco, Texas.
Tricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Tricia has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tricia Lee Jones | Trish Jones | Tricia L Jones
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.
BIRCHBROOK MANOR CONDOMINIUMS POSITION: Communications NATURE: Participate in monthly Board of Directors meetings as elected volunteer. Various duties including dues collections, landscape and structural maintenance issues, vendor contracts, general community matters. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/09/2023 ADDRESS: 5010 Matilda St, Dallas TX 75206, United States DESCRIPTION: drafting, posting communications to owners, residents
CRS (Client Relationship Summary) - RIA
Click below to view Tricia Lee Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tricia Lee Jones'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
April 22, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Current
April 12, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
September 27, 2017 - September 13, 2022
COMERICA SECURITIES
BD
CRD#: 17079
DETROIT, MI
Past
November 8, 2010 - August 24, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
LEWISVILLE, TX
Past
May 19, 2006 - July 1, 2009
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
June 21, 2005 - March 22, 2006
PROVASI CAPITAL PARTNERS LP
BD
CRD#: 119539
DALLAS, TX
Past
January 14, 2005 - June 14, 2005
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
FT WORTH, TX
Past
September 5, 2003 - June 14, 2005
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
January 24, 2001 - March 5, 2003
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
December 8, 1999 - January 9, 2001
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
January 28, 1999 - June 28, 1999
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
Past
July 7, 1997 - October 15, 1998
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
July 7, 1997 - October 15, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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(4/12/2024)
RR
Alaska(4/12/2024)
RR
Arizona(4/12/2024)
RR
Arkansas(4/12/2024)
RR
California(4/12/2024)
RR
Colorado(4/12/2024)
RR
Connecticut(4/12/2024)
RR
Delaware(4/12/2024)
RR
District of Columbia(4/12/2024)
RR
Florida(4/12/2024)
RR
Georgia(4/12/2024)
RR
Hawaii(4/12/2024)
RR
Idaho(4/12/2024)
RR
Illinois(4/12/2024)
RR
Indiana(4/12/2024)
RR
Iowa(4/12/2024)
RR
Kansas(4/12/2024)
RR
Kentucky(4/12/2024)
RR
Louisiana(4/12/2024)
RR
Maine(4/12/2024)
RR
Maryland(4/12/2024)
RR
Massachusetts(4/12/2024)
RR
Michigan(4/12/2024)
RR
Minnesota(4/12/2024)
RR
Mississippi(4/12/2024)
RR
Missouri(4/12/2024)
RR
Montana(4/12/2024)
RR
Nebraska(4/12/2024)
RR
Nevada(4/12/2024)
RR
New Hampshire(4/12/2024)
RR
New Jersey(4/12/2024)
RR
New Mexico(4/12/2024)
RR
New York(4/12/2024)
RR
North Carolina(4/12/2024)
RR
North Dakota(4/12/2024)
RR
Ohio(4/12/2024)
RR
Oklahoma(4/12/2024)
RR
Oregon(4/12/2024)
RR
Pennsylvania(4/12/2024)
RR
Rhode Island(4/12/2024)
RR
South Carolina(4/12/2024)
RR
South Dakota(4/12/2024)
RR
Tennessee(4/12/2024)
RR
Texas(4/12/2024)
IAR
Texas(4/22/2024)
RR
Utah(4/12/2024)
RR
Vermont(4/12/2024)
RR
Virginia(4/12/2024)
RR
Washington(4/12/2024)
RR
West Virginia(4/12/2024)
RR
Wisconsin(4/12/2024)
RR
Wyoming(4/12/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472Frisco, TX 75034TRUST BUT VERIFY
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