SK
Sarah L. Koth
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Polk City, IA
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CRD#: 3106716
SK
Professional summary
Sarah Lynn Koth, AIF®, CFP®, who also goes by Sarah L Brown, Sarah Lynn Brown, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Polk City, Iowa.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sarah has worked at 14 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah L Brown | Sarah Lynn Brown
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: Thelma's Treats, LLC Position: Brand Ambassador Nature: Thelma's Treats is a manufacturer and distributor of ice cream novelties. Their current product line includes specialty flavors of ice cream sandwiches. Thelma's ice cream sandwiches are produced in their factory in Des Moines, IA. The ice cream sandwiches are distributed to grocery stores, convenience stores and other locations such as high school ball park concession stands, and municipal swimming pools across the country. Investment Related: No Hours: 0 Securities Trading Hours: 0 Start Date: 03/01/2024 Address: 2323 Hubbell Avenue, Des Moines IA 50317, United States Description: Conducting in store demonstrations of the product allowing customers to experience the treats. In addition for special events such as the Iowa State Fair I may be asked to sell the product from the Thelma's corn bin.
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Lynn Koth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sarah Lynn Koth'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: 2010
Experience
Current
September 10, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 2713 Stange Road, Suite 105, Ames, IA 50010RIA
BD
CRD#: 20472
Polk City, IA
Current
September 10, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 2713 Stange Road, Suite 105, Ames, IA 50010RIA
BD
CRD#: 20472
Ames, IA
Past
June 23, 2023 - August 19, 2024
ATHENE SECURITIES, LLC
BD
CRD#: 36867
WEST DES MOINES, IA
Past
June 10, 2021 - July 6, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
W Des Moines, IA
Past
June 10, 2021 - July 6, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
W DES MOINES, IA
Past
June 10, 2021 - July 6, 2022
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
W DES MOINES, IA
Past
June 10, 2021 - July 6, 2022
CETERA ADVISORS LLC
BD
CRD#: 10299
W DES MOINES, IA
Past
June 9, 2021 - April 18, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Polk City, IA
Past
June 9, 2021 - April 18, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
W DES MOINES, IA
Past
February 14, 2011 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
DES MOINES, IA
Past
August 31, 2010 - March 1, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
DES MOINES, IA
Past
August 31, 2010 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
DES MOINES, IA
Past
September 2, 2009 - September 1, 2010
DIRECTED SERVICES LLC
RIA
CRD#: 21675
DES MOINES, IA
Past
July 13, 2004 - September 1, 2010
DIRECTED SERVICES LLC
BD
CRD#: 21675
DES MOINES, IA
Past
February 7, 2003 - June 25, 2004
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
OVERLAND PARK, KS
Past
October 2, 2002 - February 7, 2003
THE MASTERS, INC.
RIA
CRD#: 108432
W DES MOINES, IA
Past
October 2, 2002 - June 25, 2004
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
OVERLAND PARK, KS
Past
August 17, 2000 - October 3, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
Past
January 5, 1999 - October 4, 2002
SUCCESSFUL RESOURCE MANAGEMENT, LTD.
RIA
CRD#: 110317
DES MOINES, IA
Past
September 9, 1998 - August 22, 2000
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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
Iowa(9/10/2024)
IAR
Iowa(9/10/2024)
RR
Missouri(9/10/2024)
RR
Nebraska(9/10/2024)
RR
South Dakota(9/10/2024)
Exams
State Security Law Exam
General 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.
