Vicki L. Bailey
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.
Vicki Lynne Bailey, who also goes by VIcki L Bailey, was a registered financial professional .
Vicki is a previously registered financial professional and started their career in finance in 1999. Vicki had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2012 - July 1, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 14, 2012 - July 1, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 6, 2011 - September 17, 2012
LINCOLN INVESTMENT
August 2, 2010 - September 17, 2012
LINCOLN INVESTMENT
March 26, 2009 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
July 10, 2006 - April 1, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
November 4, 2005 - April 26, 2006
IFMG SECURITIES, INC.
August 24, 2005 - April 26, 2006
IFMG SECURITIES, INC.
July 6, 2004 - January 4, 2005
EQUITAS AMERICA, LLC
August 8, 2002 - January 4, 2005
EQUITAS AMERICA, LLC
March 7, 2002 - August 2, 2002
OPPENHEIMER & CO. INC.
November 2, 2000 - March 4, 2002
WAYPOINT BROKERAGE SERVICES
December 21, 1999 - October 27, 2000
ESSEX NATIONAL SECURITIES, LLC
February 3, 1999 - October 27, 1999
PRUDENTIAL EQUITY GROUP, LLC
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.
