Randy J. Bendorf
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.
Randy James Bendorf, who also goes by Randy J Bendorf, Randy Bendorf, was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1997. Randy had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, 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
December 24, 2014 - January 15, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 23, 2014 - January 15, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 30, 2011 - April 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2011 - April 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 2010 - February 14, 2011
ALLSTATE FINANCIAL SERVICES, LLC
October 3, 2008 - March 12, 2009
CETERA INVESTMENT SERVICES LLC
September 26, 2008 - March 12, 2009
CETERA INVESTMENT SERVICES LLC
March 19, 2004 - June 11, 2008
WELLS FARGO INVESTMENTS, LLC
March 19, 2004 - June 11, 2008
WELLS FARGO INVESTMENTS, LLC
August 14, 2003 - March 25, 2004
QUICK & REILLY, INC.
August 7, 2003 - March 25, 2004
QUICK & REILLY, INC.
August 26, 2002 - July 9, 2003
ALLSTATE FINANCIAL SERVICES, LLC
November 20, 2000 - October 2, 2002
PRUCO SECURITIES, LLC.
June 12, 1998 - October 2, 2002
PRUCO SECURITIES, LLC.
November 11, 1997 - May 22, 1998
NYLIFE SECURITIES LLC
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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
