EH
Elvia Hostiguin Vargas
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Frisco, TX
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CRD#: 4131054
EH
Professional summary
Elvia Hostiguin Vargas, who also goes by Elvia Ostiguin, Maria Elvia Ostiguin, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Frisco, Texas.
Elvia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Elvia has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 55, Series 7, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elvia Ostiguin | Maria Elvia Ostiguin
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 Elvia Hostiguin Vargas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elvia Hostiguin Vargas'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
October 13, 2022 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
BD
CRD#: 20472
Frisco, TX
Current
November 25, 2014 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Trac, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
February 25, 2014 - June 23, 2014
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
DALLAS, TX
Past
February 24, 2014 - June 23, 2014
BBVA SECURITIES INC.
BD
CRD#: 27060
DALLAS, TX
Past
July 18, 2008 - September 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PLANO, TX
Past
July 18, 2008 - September 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PLANO, TX
Past
May 29, 2007 - July 31, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
May 29, 2007 - July 31, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 8, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
NEW YORK, NY
Past
February 8, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
NEW YORK, NY
Past
August 21, 2006 - January 25, 2007
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW YORK, NY
Past
June 26, 2006 - January 25, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
September 20, 2004 - June 9, 2006
SANTANDER INTERNATIONAL SECURITIES, INC.
BD
CRD#: 131165
NEW YORK, NY
Past
March 6, 2000 - June 15, 2004
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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
Alabama(1/2/2015)
RR
Alaska(1/2/2015)
RR
Arizona(1/2/2015)
RR
Arkansas(1/2/2015)
RR
California(1/2/2015)
RR
Colorado(1/2/2015)
RR
Connecticut(1/2/2015)
RR
Delaware(1/2/2015)
RR
District of Columbia(1/2/2015)
RR
Florida(1/2/2015)
RR
Georgia(1/2/2015)
RR
Hawaii(1/2/2015)
RR
Idaho(1/2/2015)
RR
Illinois(1/2/2015)
RR
Indiana(1/2/2015)
RR
Iowa(1/2/2015)
RR
Kansas(1/2/2015)
RR
Kentucky(1/2/2015)
RR
Louisiana(1/2/2015)
RR
Maine(1/2/2015)
RR
Maryland(1/2/2015)
RR
Massachusetts(1/2/2015)
RR
Michigan(1/2/2015)
RR
Minnesota(1/2/2015)
RR
Mississippi(1/2/2015)
RR
Missouri(1/2/2015)
RR
Montana(1/2/2015)
RR
Nebraska(1/2/2015)
RR
Nevada(1/2/2015)
RR
New Hampshire(1/2/2015)
RR
New Jersey(1/2/2015)
RR
New Mexico(1/2/2015)
RR
New York(1/2/2015)
RR
North Carolina(1/9/2015)
RR
North Dakota(1/2/2015)
RR
Ohio(1/2/2015)
RR
Oklahoma(1/2/2015)
RR
Oregon(1/2/2015)
RR
Pennsylvania(1/2/2015)
RR
Puerto Rico(3/2/2015)
RR
Rhode Island(1/2/2015)
RR
South Carolina(1/2/2015)
RR
South Dakota(1/2/2015)
RR
Tennessee(1/6/2021)
RR
Texas(11/25/2014)
IAR
Texas(10/13/2022)
RR
Utah(1/2/2015)
RR
Vermont(1/2/2015)
RR
Virginia(1/2/2015)
RR
Washington(1/2/2015)
RR
West Virginia(1/2/2015)
RR
Wisconsin(1/2/2015)
RR
Wyoming(1/2/2015)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/8/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory 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.
