KK
Kristin M. Klein
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Manahawkin, NJ
Some features on this profile are disabled
CRD#: 3235808
KK
Professional summary
Kristin Margret Klein, who also goes by Kristin Margret Kritch, Kristin Margret Patterson, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Manahawkin, New Jersey.
Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kristin has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristin Margret Kritch | Kristin Margret Patterson
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.
ST. MARY ACADEMY POSITION: Vice President of Finance/Co-Treasurer NATURE: My son attends this school since Pre-K. They have had me in a PTA President or PTA Vice President capacity since 2018. I do not handle anything financially, however, I do chair multiple fundraisers for the school throughout the year. All of the proceeds we raise go back to the school. In the President and Vice President roles that I have had, I attend monthly board meetings, organize, and chair events throughout the school. They are changing board positions this year and titles, my title has changes for 2025-2027 school year. It is now considered the Vice President of Finance AKA Co-Treasurer. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/06/2018 ADDRESS: 400 Doc Cramer Blvd, Manahawkin NJ 08050, United States DESCRIPTION: A PTA Board Member at a Catholic School to help parents and teachers work together to support the school community. The Vice President of Finance/Co-Treasurer: Attends Monthly Board Meetings with PTA Board Assist treasurer in creating and monitoring the schools pta budget, identifying potential areas of overspending and proposing adjustments. Coordinates the annual auction and gala working with committee to stay on budget. Oversee school committees to include; gift auction committee; lunch recess committee, holiday shop committee, scholastic book fair committee, fundraising committee. I do not have any check writing ability or access to anything financially.
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Margret Klein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristin Margret Klein'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
June 30, 2014 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
BD
CRD#: 20472
Manahawkin, NJ
Current
February 21, 2014 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 155 Village Boulevard Suite A, Princeton, NJ 08540RIA
BD
CRD#: 20472
Princeton, NJ
Past
September 19, 2012 - January 24, 2014
SANTANDER SECURITIES LLC
BD
CRD#: 41791
STATEN ISLAND, NY
Past
March 1, 2010 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
SPRINGFIELD, NJ
Past
August 20, 2009 - December 14, 2009
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
MARLBORO, NJ
Past
May 27, 2008 - October 15, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
TOMS RIVER, NJ
Past
October 29, 2007 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
TOMS RIVER, NJ
Past
May 7, 2003 - August 24, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MANALAPAN, NJ
Past
July 24, 2002 - September 26, 2002
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
May 23, 2002 - July 19, 2002
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, 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
New Jersey(2/21/2014)
IAR
New Jersey(6/30/2014)
RR
New York(2/21/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
