Jonathan J. Imber

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CRD#: 4188893

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jonathan Joseph Imber, CFP®, who also goes by Jonathan J Imber, was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 2000. Jonathan had worked at 5 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jonathan J Imber

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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^®

Certified Financial Planner

Experience

Past

May 19, 2014 - August 23, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

WASHINGTON, DC

Past

April 26, 2004 - February 28, 2014

SCOTTRADE, INC.

CRD#: 8206

BETHESDA, MD

Past

July 22, 2003 - March 4, 2004

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

SILVER SPRING, MD

Past

June 2, 2003 - March 4, 2004

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 19, 2001 - May 22, 2003

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

VIENNA, VA

Past

January 30, 2001 - May 22, 2003

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

July 14, 2000 - January 4, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472 / SEC#: 801-63550, 8-44454

RIA

Registered Investment Advisory firm - SEC (9/24/2004 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/31/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/18/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/13/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/26/2007

General Securities Principal Examination

Current Firm

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472 / SEC#: 801-63550, 8-44454

RIA

Registered Investment Advisory firm - SEC (9/24/2004 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVICE & PLANNING SERVICES PORTFOLIO ADVISOR WRAP FEE PROGRAM - OCTOBER 20, 2025 (10/16/2025)

ADVICE & PLANNING SERVICES PRIVATE ASSET MANAGEMENT PROGRAM - AUGUST 26, 2025 (8/26/2025)

ADVICE & PLANNING SERVICES TIAA PERSONAL PORTFOLIO WRAP FEE PROGRAM - MARCH 28, 2025 (3/26/2025)

TC SERVICES ADVICE & PLANNING SERVICES DISCLOSURE BROCHURE - MARCH 28, 2025 (3/26/2025)

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	Cover Page	Report
12/13/2023	Cover Page	Report
03/21/2023	Cover Page	Report

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.

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Firm Stability Insights

Jonathan J. Imber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SCOTTRADE, INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/31/2000

SIE

Date: 10/1/2018

Series 31

Date: 8/18/2000

Series 7

Date: 7/13/2000

Series 24

Date: 4/26/2007

Current Firm

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TRUST BUT VERIFY

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