Jeffrey J. Mercuri
Professional summary
Jeffrey John Mercuri, who also goes by Jeff Mercuri, Jeffrey John Mercuri, Jeffrey Mercuri, is a registered financial professional currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Charlotte, North Carolina.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1999. Jeffrey has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey John Mercuri's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 28, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262March 13, 2009 - November 1, 2021
WELLS FARGO CLEARING SERVICES, LLC
March 13, 2009 - November 1, 2021
WELLS FARGO CLEARING SERVICES, LLC
February 20, 2007 - May 7, 2008
TEACHERS PERSONAL INVESTORS SERVICES, INC.
October 26, 2004 - March 29, 2005
TIAA-CREF TRUST COMPANY, FSB
October 26, 2004 - August 20, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 22, 2003 - August 20, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 3, 2001 - December 18, 2002
STEPHENS
April 30, 2001 - December 18, 2002
STEPHENS
June 20, 2000 - April 19, 2001
UVEST FINANCIAL SERVICES GROUP, INC.
May 25, 1999 - June 14, 2000
SCOTTRADE, INC.
March 3, 1999 - May 4, 1999
IDS LIFE INSURANCE COMPANY
March 3, 1999 - May 4, 1999
AMERIPRISE FINANCIAL SERVICES, 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
Series 7TO
Date: 12/19/2023
General Securities Representative ExaminationFINRA
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.
