BS
Bobby L. Slate
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Kaneohe, HI
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CRD#: 3043107
BS
Professional summary
Bobby Lee Slate, who also goes by Bob L Slate, Bob Slate, Bobby Lee Slate, Bobby L Slate, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Kaneohe, Hawaii.
Bobby is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Bobby has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, Series 6TO, Series 52TO, SIE, Series 7, Series 6, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob L Slate | Bob Slate | Bobby Lee Slate | Bobby L Slate
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 Bobby Lee Slate's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bobby Lee Slate'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
October 27, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 500 Ala Moana Blvd. 4th Floor, Honolulu, HI 96813RIA
BD
CRD#: 20472
Kaneohe, HI
Current
August 15, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 500 Ala Moana Blvd. 4th Floor, Honolulu, HI 96813RIA
BD
CRD#: 20472
Honolulu, HI
Past
December 18, 2017 - December 24, 2020
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
HONOLULU, HI
Past
December 18, 2017 - December 24, 2020
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
HONOLULU, HI
Past
May 3, 2017 - December 19, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
HONOLULU, HI
Past
May 3, 2017 - December 19, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
HONOLULU, HI
Past
June 6, 2016 - May 2, 2017
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
HONOLULU, HI
Past
March 29, 2016 - May 2, 2017
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
HONOLULU, HI
Past
February 4, 2014 - March 31, 2016
OSAIC FS, INC.
BD
CRD#: 3870
KANEOHE, HI
Past
December 6, 2001 - February 14, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
KANEOHE, HI
Past
August 19, 1998 - December 8, 2001
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
May 27, 1998 - September 28, 1998
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
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
California(10/19/2023)
RR
Hawaii(10/27/2023)
IAR
Hawaii(10/27/2023)
RR
New Mexico(6/14/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/15/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 12/15/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 12/15/2022
Municipal Securities Representative ExaminationGeneral 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.
