KC
Kayla R. Clark
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Lake Mills, IA
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CRD#: 3077789
KC
Professional summary
Kayla Ruth Clark, ChFC®, CLU®, who also goes by Kayla Ruth Clark, Kayla R Clark, Kayla Ruth Peterson, Kayla Peterson, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Lake Mills, Iowa.
Kayla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Kayla has worked at 13 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kayla Ruth Clark | Kayla R Clark | Kayla Ruth Peterson | Kayla Peterson
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.
Name: Kwik Star / Kwik Trip Position: Guest Service/Retail Service Nature: Truck Stop / Convenience Store Gas, food, drink and convenience items for travelers Investment Related: No Hours: 64 Securities Trading Hours: 0Start Date: 09/19/2023 Address: 3205 Willow Creek Ct, Clear Lake IA 50428, United States Description: Cashiering, preparing bakery items, frosting, etc.
CRS (Client Relationship Summary) - RIA
Click below to view Kayla Ruth Clark's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kayla Ruth Clark'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®
Experience
Current
November 27, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
BD
CRD#: 20472
Lake Mills, IA
Current
November 24, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Trac, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
October 24, 2023 - November 7, 2023
FORTHRIGHT CAPITAL ADVISORY
RIA
CRD#: 323596
Lake Mills, IA
Past
June 17, 2020 - November 8, 2023
MOTIV8 INVESTMENTS LLC
RIA
CRD#: 285560
Lake Mills, IA
Past
December 7, 2017 - May 13, 2020
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
FITCHBURG, WI
Past
December 6, 2017 - May 13, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
FITCHBURG, WI
Past
August 6, 2015 - March 29, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
MIDDLETON, WI
Past
June 29, 2015 - March 29, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MIDDLETON, WI
Past
August 2, 2011 - May 1, 2015
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Milwaukee, WI
Past
August 1, 2011 - May 1, 2015
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Milwaukee, WI
Past
December 16, 2008 - February 11, 2011
QA3 FINANCIAL LLC
RIA
CRD#: 104957
CHULA VISTA, CA
Past
December 15, 2008 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
CHULA VISTA, CA
Past
November 1, 2005 - December 17, 2008
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
CHULA VISTA, CA
Past
October 19, 2005 - December 17, 2008
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
CHULA VISTA, CA
Past
April 7, 2000 - October 27, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CHULA VISTA, CA
Past
March 28, 2000 - October 27, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
January 22, 1999 - November 5, 1999
CAPSTONE INVESTMENTS
BD
CRD#: 41400
SAN DIEGO, CA
Past
August 10, 1998 - December 10, 1998
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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
Alabama(1/5/2024)
RR
Alaska(1/29/2024)
RR
Arizona(1/5/2024)
RR
Arkansas(1/17/2024)
RR
California(1/5/2024)
RR
Colorado(1/5/2024)
RR
Connecticut(1/5/2024)
RR
Delaware(1/22/2024)
RR
District of Columbia(1/8/2024)
RR
Florida(1/5/2024)
RR
Georgia(1/9/2024)
RR
Hawaii(1/10/2024)
RR
Idaho(1/17/2024)
RR
Illinois(1/17/2024)
RR
Indiana(1/22/2024)
RR
Iowa(12/18/2023)
IAR
Iowa(7/16/2024)
RR
Kansas(1/5/2024)
RR
Kentucky(1/5/2024)
RR
Louisiana(1/10/2024)
RR
Maine(1/9/2024)
RR
Maryland(1/10/2024)
RR
Massachusetts(1/5/2024)
RR
Michigan(1/8/2024)
RR
Minnesota(1/5/2024)
RR
Mississippi(1/12/2024)
RR
Missouri(1/5/2024)
RR
Montana(1/11/2024)
RR
Nebraska(1/5/2024)
RR
Nevada(1/11/2024)
RR
New Hampshire(1/9/2024)
RR
New Jersey(1/9/2024)
RR
New Mexico(1/5/2024)
RR
New York(1/7/2024)
RR
North Carolina(1/11/2024)
RR
North Dakota(1/8/2024)
RR
Ohio(1/5/2024)
RR
Oklahoma(1/8/2024)
RR
Oregon(1/5/2024)
RR
Pennsylvania(1/5/2024)
RR
Rhode Island(1/5/2024)
RR
South Carolina(1/12/2024)
RR
South Dakota(1/5/2024)
RR
Tennessee(1/9/2024)
RR
Texas(1/5/2024)
RR
Utah(1/8/2024)
RR
Vermont(1/5/2024)
RR
Virginia(1/5/2024)
RR
Washington(1/4/2024)
RR
West Virginia(1/17/2024)
RR
Wisconsin(1/5/2024)
RR
Wyoming(1/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/5/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
