Eric R. Robertson
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.
Eric Ryan Robertson, who also goes by Eric Ryan Robertson, Eric Robertson, Eric R Robertson, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1997. Eric had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2022 - January 31, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 28, 2022 - January 31, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 11, 2016 - May 28, 2021
CETERA INVESTMENT ADVISERS LLC
August 11, 2016 - May 28, 2021
CETERA INVESTMENT SERVICES LLC
February 16, 2010 - August 2, 2016
BB&T INVESTMENT SERVICES, INC.
February 16, 2010 - August 2, 2016
BB&T INVESTMENT SERVICES, INC.
April 20, 2007 - May 5, 2009
CHASE INVESTMENT SERVICES CORP.
April 20, 2007 - May 5, 2009
CHASE INVESTMENT SERVICES CORP.
January 26, 2007 - March 7, 2007
WADDELL & REED
January 24, 2007 - March 7, 2007
WADDELL & REED
March 3, 2005 - June 6, 2005
FIFTH THIRD SECURITIES, INC.
April 22, 2003 - June 6, 2005
FIFTH THIRD SECURITIES, INC.
July 28, 2000 - April 17, 2003
MORGAN KEEGAN & COMPANY, LLC
October 17, 1997 - August 7, 2000
J.J.B. HILLIARD, W.L. LYONS, 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
