NB
Nichole S. Brown
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Herriman, UT
Some features on this profile are disabled
CRD#: 3170876
NB
Professional summary
Nichole Santoro Brown, who also goes by Nichole S Brown, Nichole M Santoro, Nichole Marie Santoro, Nichole Santoro, Nichole Santoro Stanbrough, Nichole Maria Santoro Stanbrough, Nichole Santoro Stanbrough, Nichole Stanbrough, Nichole S Stanbrough, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Herriman, Utah.
Nichole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Nichole has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nichole S Brown | Nichole M Santoro | Nichole Marie Santoro | Nichole Santoro | Nichole Santoro Stanbrough | Nichole Maria Santoro Stanbrough | Nichole Santoro Stanbrough | Nichole Stanbrough | Nichole S Stanbrough
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.
(1) Name: rental property Position: owner Nature: Rental Property- investment related real estate in Midvale, UT. Investment Related: Yes Hours: 15 Securities Trading Hours: 0 Start Date: 09/01/2019 Address: 91 W Settlement Circle, Midvale UT 84047, United States Description: Rental Property- investment related in Midvale, UT. 100% ownership start date 09/01/2019. Number of hours per month is between 10-20, number of hours during trading is 0. (2) BURLINGTON COAT FACTORY POSITION: Cashier NATURE: A nationally recognized off-price retailer that sells discounted brand name shoes and clothing, baby furniture and accessories. The company also operates MJM Designers Shoes, Cohoes Fashions, and the Super Baby Depot INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 09/19/2024 ADDRESS: 7459 S Plaza Center Drive, West Jordan UT 84088, United States DESCRIPTION: handling point of sales transactions and customer service
CRS (Client Relationship Summary) - RIA
Click below to view Nichole Santoro Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nichole Santoro Brown'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
January 11, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 505 Wakara Way Suite 220, Salt Lake City, UT 84108RIA
BD
CRD#: 20472
Herriman, UT
Current
October 20, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 505 Wakara Way Suite 220, Salt Lake City, UT 84108RIA
BD
CRD#: 20472
Salt Lake City, UT
Past
March 22, 2016 - November 19, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SALT LAKE CITY, UT
Past
March 22, 2016 - November 19, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SALT LAKE CITY, UT
Past
March 26, 2015 - March 16, 2016
HARRISDIRECT LLC
RIA
CRD#: 42159
SANDY, UT
Past
March 17, 2015 - March 16, 2016
E*TRADE SECURITIES LLC
BD
CRD#: 29106
SANDY, UT
Past
March 17, 2011 - March 18, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SALT LAKE CITY, UT
Past
March 16, 2011 - March 18, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SALT LAKE CITY, UT
Past
October 21, 2010 - February 15, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HOLLADAY, UT
Past
June 1, 2009 - October 29, 2010
MORGAN STANLEY
RIA
CRD#: 149777
SALT LAKE CITY, UT
Past
June 1, 2009 - October 29, 2010
MORGAN STANLEY
BD
CRD#: 149777
SALT LAKE CITY, UT
Past
November 2, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SALT LAKE CITY, UT
Past
November 25, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SALT LAKE CITY, UT
Past
October 28, 2002 - November 25, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MIDVALE, UT
Past
July 14, 2000 - July 24, 2000
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
July 14, 2000 - November 25, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Alabama(1/17/2024)
IAR
Alabama(8/14/2025)
RR
Alaska(2/2/2024)
RR
Arizona(1/29/2024)
RR
Arkansas(1/22/2024)
RR
California(1/12/2024)
RR
Colorado(1/16/2024)
RR
Connecticut(1/12/2024)
RR
Delaware(1/30/2024)
RR
District of Columbia(1/23/2024)
RR
Florida(1/16/2024)
RR
Georgia(1/17/2024)
RR
Hawaii(1/16/2024)
RR
Idaho(1/22/2024)
RR
Illinois(1/23/2024)
RR
Indiana(1/23/2024)
RR
Iowa(1/12/2024)
RR
Kansas(1/16/2024)
RR
Kentucky(1/18/2024)
RR
Louisiana(1/23/2024)
RR
Maine(1/12/2024)
RR
Maryland(1/16/2024)
RR
Massachusetts(1/17/2024)
RR
Michigan(1/16/2024)
RR
Minnesota(1/12/2024)
RR
Mississippi(1/16/2024)
RR
Missouri(1/16/2024)
RR
Montana(1/16/2024)
RR
Nebraska(1/12/2024)
RR
Nevada(1/17/2024)
RR
New Hampshire(1/16/2024)
RR
New Jersey(1/23/2024)
RR
New Mexico(1/16/2024)
RR
New York(1/12/2024)
RR
North Carolina(1/12/2024)
RR
North Dakota(1/17/2024)
RR
Ohio(1/12/2024)
RR
Oklahoma(1/16/2024)
RR
Oregon(1/12/2024)
RR
Pennsylvania(1/16/2024)
RR
Rhode Island(1/16/2024)
RR
South Carolina(1/18/2024)
RR
South Dakota(1/16/2024)
RR
Tennessee(1/17/2024)
RR
Texas(1/12/2024)
IAR
Texas(8/14/2025)
IAR
Utah(1/11/2024)
RR
Utah(1/12/2024)
RR
Vermont(1/16/2024)
IAR
Vermont(8/14/2025)
RR
Virginia(1/16/2024)
RR
Washington(1/16/2024)
RR
West Virginia(1/25/2024)
RR
Wisconsin(1/12/2024)
RR
Wyoming(1/16/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/17/2022
General 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.
