TR
Troy M. Rozich
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Lake Wylie, SC
Some features on this profile are disabled
CRD#: 4063260
TR
Professional summary
Troy Marshall Rozich, who also goes by Troy Marshall Rozich, Troy M Rozich, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Lake Wylie, South Carolina.
Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Troy has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Troy Marshall Rozich | Troy M Rozich
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Troy Marshall Rozich's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Troy Marshall Rozich'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
August 31, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262RIA
BD
CRD#: 20472
Lake Wylie, SC
Current
August 31, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262RIA
BD
CRD#: 20472
Charlotte, NC
Past
November 14, 2008 - August 11, 2023
HARRISDIRECT LLC
RIA
CRD#: 42159
CHARLOTTE, NC
Past
October 16, 2006 - August 11, 2023
E*TRADE SECURITIES LLC
BD
CRD#: 29106
CHARLOTTE, NC
Past
February 10, 2005 - October 2, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WILMINGTON, NC
Past
January 6, 2005 - October 2, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WILMINGTON, NC
Past
February 24, 2004 - December 31, 2004
COASTAL DISCOUNT STOCKBROKERS, INC.
BD
CRD#: 18237
WILMINGTON, NC
Past
October 1, 2002 - September 5, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
September 23, 2002 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
Past
August 15, 2000 - March 4, 2002
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
January 21, 2000 - June 29, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 21, 2000 - June 29, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(8/31/2023)
IAR
Alabama(8/15/2025)
RR
Alaska(8/31/2023)
RR
Arizona(8/31/2023)
RR
Arkansas(8/31/2023)
RR
California(8/31/2023)
RR
Colorado(8/31/2023)
RR
Connecticut(8/31/2023)
RR
Delaware(8/31/2023)
RR
District of Columbia(8/31/2023)
RR
Florida(8/31/2023)
RR
Georgia(8/31/2023)
RR
Hawaii(8/31/2023)
RR
Idaho(8/31/2023)
RR
Illinois(8/31/2023)
RR
Indiana(8/31/2023)
RR
Iowa(8/31/2023)
RR
Kansas(8/31/2023)
RR
Kentucky(8/31/2023)
RR
Louisiana(8/31/2023)
RR
Maine(8/31/2023)
RR
Maryland(8/31/2023)
RR
Massachusetts(8/31/2023)
RR
Michigan(8/31/2023)
RR
Minnesota(8/31/2023)
RR
Mississippi(8/31/2023)
RR
Missouri(8/31/2023)
RR
Montana(8/31/2023)
RR
Nebraska(8/31/2023)
RR
Nevada(8/31/2023)
RR
New Hampshire(8/31/2023)
RR
New Jersey(8/31/2023)
RR
New Mexico(8/31/2023)
RR
New York(8/31/2023)
RR
North Carolina(8/31/2023)
IAR
North Carolina(8/31/2023)
RR
North Dakota(8/31/2023)
RR
Ohio(8/31/2023)
RR
Oklahoma(8/31/2023)
RR
Oregon(8/31/2023)
RR
Pennsylvania(8/31/2023)
RR
Rhode Island(8/31/2023)
RR
South Carolina(8/31/2023)
IAR
South Carolina(6/19/2024)
RR
South Dakota(8/31/2023)
RR
Tennessee(8/31/2023)
RR
Texas(8/31/2023)
IAR
Texas(8/15/2025)
RR
Utah(8/31/2023)
RR
Vermont(8/31/2023)
IAR
Vermont(8/25/2025)
RR
Virginia(8/31/2023)
RR
Washington(8/31/2023)
RR
West Virginia(8/31/2023)
RR
Wisconsin(8/31/2023)
RR
Wyoming(8/31/2023)
Exams
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
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.
