SCOTT M. MULVANEY
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES | Vice President, Financial Advisor
Harleysville, PA
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CRD#: 2956550
Professional summary
SCOTT MATTHEW MULVANEY, AIF®, CFP®, who also goes by Scott Matthew Mulvaney, Scott M Mulvaney, Scott Mulvaney, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Harleysville, Pennsylvania.
SCOTT is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. SCOTT has worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Biography
CAPTRUST welcomed Scott in 2022, and he currently serves as a vice president and financial advisor. He is responsible for providing retirement plan advisory services to corporate fiduciaries and delivering education, guidance, and advice to their employees to improve their financial lives and help them retire successfully.
Scott joined CAPTRUST from Univest, where he served as a retirement plan consultant. He has extensive experience with all aspects of fiduciary oversight, including investment policy statements, performance evaluation, investment manager due diligence, and fee benchmarking. Prior to Univest, Scott helped launch a college savings startup company and served as program manager for the Washington D.C. 529 plan. He holds the designations of Accredited Investment Fiduciary® (AIF®), CERTIFIED FINANCIAL PLANNER™ (CFP®), Certified Plan Fiduciary Advisor (CPFA), and Chartered Retirement Plans Specialist (CRPS®). He earned a Bachelor of Arts degree in economics from Tufts University and has worked in the industry since 2002.
Outside of work, Scott enjoys playing golf with friends, traveling to Boston and Virginia to see family, and most importantly, spending time with his wife Lauren and newborn son Dominic.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Matthew Mulvaney | Scott M Mulvaney | Scott Mulvaney
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view SCOTT MATTHEW MULVANEY's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view SCOTT MATTHEW MULVANEY'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®
CFP®
Start date: 2021
Education
Tufts University
BA - Economics
Experience
Current
September 26, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 1700 Market Street 32nd Floor/suite 3222, Philadelphia, PA 19103RIA
BD
CRD#: 20472
Harleysville, PA
Current
September 26, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 1700 Market Street 32nd Floor/suite 3222, Philadelphia, PA 19103RIA
BD
CRD#: 20472
Philadelphia, PA
Past
March 28, 2022 - September 20, 2023
CAPTRUST
RIA
CRD#: 175112
Allentown, PA
Past
March 28, 2022 - April 27, 2023
CAPFINANCIAL SECURITIES, LLC.
BD
CRD#: 126291
RALEIGH, NC
Past
April 24, 2019 - January 21, 2022
GIRARD INVESTMENT SERVICES, LLC
BD
CRD#: 1834
SOUDERTON, PA
Past
January 18, 2018 - January 21, 2022
GIRARD PARTNERS LTD.
RIA
CRD#: 39163
Souderton, PA
Past
June 10, 2014 - September 25, 2015
CALVERT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 37527
BETHESDA, MD
Past
May 17, 2013 - January 8, 2014
RESOURCE SECURITIES LLC
BD
CRD#: 133022
PHILADELPHIA, PA
Past
October 15, 2004 - February 9, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
August 21, 2003 - October 12, 2004
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
Past
October 21, 2002 - August 27, 2003
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
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
Pennsylvania(9/26/2023)
IAR
Pennsylvania(9/26/2023)
RR
West Virginia(9/26/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/24/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Vice President, Financial AdvisorCRD#: 20472Harleysville, PATRUST BUT VERIFY
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Contact information
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