MI
Monica Ie Tan
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Denver, CO
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CRD#: 4019759
MI
Professional summary
Monica Ie Tan, who also goes by Monica Ietan, Monica Tan, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Denver, Colorado.
Monica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Monica has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Monica Ietan | Monica Tan
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) SHOPIFY ESHOP POSITION: Owner NATURE: Sell photo prints / artwork on Shopify and affiliate marketing on my personal website. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/20/2022 ADDRESS: 1312 17th St Unit 2206, Denver CO 80202, United States DESCRIPTION: Sell photo prints / artwork on Shopify and affiliate marketing (2) ETSY ONLINE STORE: MONICA TAN / PARISANYDAY POSITION: Owner NATURE: Sell photo prints / artwork on Etsy and affiliate marketing on my personal website. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/20/2022 ADDRESS: 1312 17th St Unit 2206, Denver CO 80202, United States DESCRIPTION: Sell photo prints
CRS (Client Relationship Summary) - RIA
Click below to view Monica Ie Tan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Monica Ie Tan'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
May 17, 2025 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 1670 Broadway, Suite 3300 Denver Regional, Denver, CO 80202-5602RIA
BD
CRD#: 20472
Denver, CO
Current
October 4, 2006 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 1670 Broadway, Suite 3300 Denver Regional, Denver, CO 80202-5602RIA
BD
CRD#: 20472
Denver, CO
Past
July 5, 2006 - September 26, 2006
CETERA ADVISORS LLC
RIA
CRD#: 10299
DENVER, CO
Past
July 5, 2006 - September 26, 2006
CETERA ADVISORS LLC
BD
CRD#: 10299
DENVER, CO
Past
September 30, 2004 - June 7, 2006
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
FORT COLLINS, CO
Past
August 2, 2001 - December 2, 2002
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
Past
February 14, 2001 - August 2, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
August 25, 2000 - February 16, 2001
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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(10/4/2006)
RR
Alaska(10/4/2006)
RR
Arizona(10/4/2006)
RR
Arkansas(10/4/2006)
RR
California(10/4/2006)
RR
Colorado(10/4/2006)
IAR
Colorado(5/17/2025)
RR
Connecticut(10/4/2006)
RR
Delaware(10/4/2006)
RR
District of Columbia(10/4/2006)
RR
Florida(10/4/2006)
RR
Georgia(10/4/2006)
RR
Hawaii(10/4/2006)
RR
Idaho(10/4/2006)
RR
Illinois(10/4/2006)
RR
Indiana(10/4/2006)
RR
Iowa(10/4/2006)
RR
Kansas(10/4/2006)
RR
Kentucky(10/4/2006)
RR
Louisiana(10/4/2006)
RR
Maine(10/4/2006)
RR
Maryland(10/4/2006)
RR
Massachusetts(10/4/2006)
RR
Michigan(10/4/2006)
RR
Minnesota(10/4/2006)
RR
Mississippi(10/4/2006)
RR
Missouri(10/4/2006)
RR
Montana(10/4/2006)
RR
Nebraska(10/4/2006)
RR
Nevada(10/4/2006)
RR
New Hampshire(10/4/2006)
RR
New Jersey(10/4/2006)
RR
New Mexico(10/4/2006)
RR
New York(10/4/2006)
RR
North Carolina(10/4/2006)
RR
North Dakota(10/4/2006)
RR
Ohio(10/5/2006)
RR
Oklahoma(10/4/2006)
RR
Oregon(10/4/2006)
RR
Pennsylvania(10/4/2006)
RR
Rhode Island(10/4/2006)
RR
South Carolina(10/4/2006)
RR
South Dakota(10/4/2006)
RR
Tennessee(10/4/2006)
RR
Texas(10/4/2006)
RR
Utah(10/4/2006)
RR
Vermont(10/4/2006)
RR
Virginia(10/4/2006)
RR
Washington(10/4/2006)
RR
West Virginia(10/4/2006)
RR
Wisconsin(10/4/2006)
RR
Wyoming(10/4/2006)
Exams
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)
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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.
