Sarah L. Koth

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES

Polk City, IA

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CRD#: 3106716

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Lynn Koth's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Sarah Lynn Koth's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

September 10, 2024 - Present

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Office #2: 2713 Stange Road, Suite 105, Ames, IA 50010

RIA

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 50010

RIA

CRD#: 20472

Ames, IA

Past

June 23, 2023 - August 19, 2024

ATHENE SECURITIES, LLC

CRD#: 36867

WEST DES MOINES, IA

Past

June 10, 2021 - July 6, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

W Des Moines, IA

Past

June 10, 2021 - July 6, 2022

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

W DES MOINES, IA

Past

June 10, 2021 - July 6, 2022

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

W DES MOINES, IA

Past

June 10, 2021 - July 6, 2022

CETERA ADVISORS LLC

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

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

CRD#: 34815

DES MOINES, IA

Past

August 31, 2010 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

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

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.

CRD#: 14503

OVERLAND PARK, KS

Past

August 17, 2000 - October 3, 2002

CAMBRIDGE INVESTMENT RESEARCH, INC.

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.

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".

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472 / SEC#: 801-63550, 8-44454

RIA

Registered Investment Advisory firm - SEC (9/24/2004 Approved)

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.

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

Iowa
(9/10/2024)

IAR

Iowa
(9/10/2024)

Kentucky
(2/20/2026)

Missouri
(9/10/2024)

Nebraska
(9/10/2024)

South Dakota
(9/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/21/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/8/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/3/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472 / SEC#: 801-63550, 8-44454

RIA

Registered Investment Advisory firm - SEC (9/24/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

PREMIUM

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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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVICE & PLANNING SERVICES TIAA PERSONAL PORTFOLIO WRAP FEE PROGRAM - JANUARY 1, 2026 (12/19/2025)

ADVICE & PLANNING SERVICES PRIVATE ASSET MANAGEMENT PROGRAM - JANUARY 1, 2026 (12/19/2025)

ADVICE & PLANNING SERVICES PORTFOLIO ADVISOR WRAP FEE PROGRAM - JANUARY 1, 2026 (12/19/2025)

TC SERVICES ADVICE & PLANNING SERVICES DISCLOSURE BROCHURE - JANUARY 1, 2026 (12/19/2025)

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
01/22/2026	Cover Page	Report
01/23/2025	Cover Page	Report
12/13/2023	Cover Page	Report
03/21/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Sarah L. Koth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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

Experience

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

ATHENE SECURITIES, LLC

FIRST ALLIED SECURITIES, INC.

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL ADVISORS, INC.

DIRECTED SERVICES LLC

DIRECTED SERVICES LLC

VSR FINANCIAL SERVICES, INC.

THE MASTERS, INC.

VSR FINANCIAL SERVICES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SUCCESSFUL RESOURCE MANAGEMENT, LTD.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/8/1998

Series 24

Date: 5/3/2001

FINRA

Current Firm

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TRUST BUT VERIFY

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