WN
William G. Nelkin
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Rochester, NY 14620
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CRD#: 3204612
WN
Professional summary
William Gerald Nelkin, CFP®, ChFC®, who also goes by William G Nelkin, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Rochester, New York.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. William has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William G Nelkin
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) JEWISH FAMILY SERVICE OF ROCHESTER POSITION: Committee member NATURE: Jewish Family Service of Rochester (JFS) strengthens all individuals, families and communities by providing comprehensive social services that are built upon the time honored Jewish traditions of dignity, kindness, and tikkun olam, improving the world. Our programs: Help build families through adoption; Offer mental health counseling to individuals, couples, & families; Provide care management to elders at home; Offer educational programs that enhance quality of life; Provide food, clothing & emergency assistance to those in our community who have nowhere else to turn. It is through JFS that our community draws on its best traditions and cares for each other in times of need. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2008 ADDRESS: 441 East Avenue, Rochester NY 14607, United States DESCRIPTION: Currently serving on the Finance Committee. Have been affiliated with the organization for over 8 years (was past Board President, Board Member, Treasurer). The responsibilities are as follows: The finance/audit committee is responsible for monitoring and ensuring the financial solvency of the agency. The committee monitors the agency's monthly financial statements, debt/cash flow issues, the annual audit and the performance of the agency's investment portfolio to ensure financial solvency of the Corporation.. The committee shall also recommend policy to the board relating to the recruitment, compensation, benefits and employment of employees and agents of the corporation other than the executive director, and all employment-related policies and procedures. As necessary, special task forces and subcommittees will be established to research and report on non-recurring, but labor-intensive issues. (2) NOTARY PUBLIC IN THE STATE OF NEW YORK POSITION: Notary Public NATURE: Notary Public qualified in the State of New York INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/16/2009 ADDRESS: Home Address, Victor NY 14564, United States DESCRIPTION: Occasional notarizing of non-TIAA documents for friends or family members
CRS (Client Relationship Summary) - RIA
Click below to view William Gerald Nelkin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Gerald Nelkin'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: 2002
Experience
Current
October 21, 2016 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 35 Celebration Drive, Rochester, NY 14620RIA
BD
CRD#: 20472
Rochester, NY
Current
October 20, 2016 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 35 Celebration Drive, Rochester, NY 14620RIA
BD
CRD#: 20472
Rochester, NY
Past
September 21, 2016 - October 17, 2016
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
ROCHESTER, NY
Past
June 14, 2010 - September 21, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
FAIRPORT, NY
Past
April 18, 2007 - June 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
BRIGHTON, NY
Past
April 18, 2007 - June 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
BRIGHTON, NY
Past
April 22, 2005 - March 26, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
PITTSFORD, NY
Past
April 4, 2005 - March 26, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
PITTSFORD, NY
Past
July 16, 2003 - April 5, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
July 28, 1999 - July 2, 2003
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, 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
Arizona(10/20/2016)
RR
California(11/17/2023)
RR
Colorado(8/26/2024)
RR
Florida(10/20/2016)
RR
Georgia(8/26/2019)
RR
Maine(8/24/2023)
RR
Maryland(8/23/2023)
RR
Massachusetts(5/13/2024)
RR
Missouri(2/2/2024)
RR
New Jersey(10/20/2016)
RR
New York(10/20/2016)
IAR
New York(5/25/2021)
RR
North Carolina(10/3/2019)
RR
Ohio(3/16/2022)
RR
Pennsylvania(10/20/2016)
RR
South Carolina(10/8/2019)
RR
Tennessee(4/22/2022)
RR
Virginia(8/14/2023)
Exams
State Security Law Exam
State Security Law Exam
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472Rochester, NY 14620TRUST BUT VERIFY
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