William M. Ross
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.
William Matthew Ross IV, who also goes by William Matthew Ross IV, William Matthew Ross, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1998. William had worked at 12 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
September 21, 2018 - August 25, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 20, 2018 - August 25, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 19, 2016 - September 14, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 2016 - September 14, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 2010 - April 6, 2016
STRATEGIC ADVISERS LLC
January 1, 2008 - April 4, 2016
FIDELITY BROKERAGE SERVICES LLC
November 18, 2005 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
December 18, 2002 - August 1, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 18, 2002 - August 1, 2005
OSAIC FA, INC.
September 21, 2000 - December 19, 2002
T. ROWE PRICE INVESTMENT SERVICES, INC.
September 10, 1999 - October 29, 1999
IDS LIFE INSURANCE COMPANY
September 10, 1999 - October 29, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
May 3, 1999 - September 3, 1999
THE CHAPMAN CO.
January 1, 1999 - January 9, 2003
T. ROWE PRICE ADVISORY SERVICES, INC.
January 1, 1998 - April 16, 1999
T. ROWE PRICE INVESTMENT SERVICES, INC.
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 |
|---|---|---|
| 01/23/2025 | ||
| 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.
