KB
Kevin J. Brey
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Allentown, PA
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CRD#: 4239267
KB
Professional summary
Kevin Joseph Brey, who also goes by Kevin Brey, Kevin J Brey, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Allentown, Pennsylvania.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kevin has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 21 and Series 25 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Brey | Kevin J Brey
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.
Name: Lehigh Valley Zoo
Position: board of directors Nature: non- profit organization Investment Related: No Hours: 5 Securities Trading Hours: 0 Start Date: 01/09/2019
Address: 5150 Game Preserve Road, Schnecksville PA 18078, United States
Description: I am on the board of directors for the Zoo
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Joseph Brey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Joseph Brey'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
February 11, 2019 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 3477 Corporate Parkway Offices 103 104 And 106, Center Valley, PA, 18034RIA
BD
CRD#: 20472
Allentown, PA
Current
February 11, 2019 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3477 Corporate Parkway Offices 103 104 And 106, Center Valley, PA, 18034RIA
BD
CRD#: 20472
Center Valley, PA
Past
August 1, 2017 - January 22, 2019
MORGAN STANLEY
BD
CRD#: 149777
ALLENTOWN, PA
Past
July 28, 2017 - January 22, 2019
MORGAN STANLEY
RIA
CRD#: 149777
ALLENTOWN, PA
Past
January 13, 2014 - November 30, 2015
FINANCIAL PRODUCTS, LLC
BD
CRD#: 153479
NEW YORK, NY
Past
June 17, 2013 - January 13, 2014
BEACON TRUST
RIA
CRD#: 156942
MORRISTOWN, NJ
Past
October 18, 2012 - January 8, 2014
THE MDE GROUP, INC.
RIA
CRD#: 107718
MORRISTOWN, NJ
Past
January 3, 2012 - January 6, 2012
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
JERSEY CITY, NJ
Past
July 30, 2008 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
BD
CRD#: 146183
JERSEY CITY, NJ
Past
February 12, 2008 - January 24, 2012
BLACKROCK FUND ADVISORS
RIA
CRD#: 105247
JERSEY CITY, NJ
Past
February 12, 2008 - December 31, 2008
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
JERSEY CITY, NJ
Past
April 3, 2006 - November 8, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WEST PALM BEACH, FL
Past
March 16, 2006 - November 8, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WEST PALM BEACH, FL
Past
January 14, 2005 - February 13, 2006
GMS GROUP
BD
CRD#: 8000
BOCA RATON, FL
Past
January 3, 2003 - February 25, 2004
REDI GLOBAL TECHNOLOGIES LLC
BD
CRD#: 41924
NEW YORK, NY
Past
October 1, 2000 - July 29, 2002
REDI GLOBAL TECHNOLOGIES LLC
BD
CRD#: 41924
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
Arizona(7/27/2020)
RR
California(6/11/2025)
RR
Delaware(3/25/2021)
RR
Florida(10/20/2020)
RR
Maryland(8/1/2023)
RR
Massachusetts(8/21/2019)
RR
New Jersey(2/11/2019)
RR
New Mexico(7/9/2020)
RR
New York(2/11/2019)
RR
Pennsylvania(2/11/2019)
IAR
Pennsylvania(2/11/2019)
RR
South Carolina(3/28/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 21
Date: 6/25/2001
NYSE Front Line Specialist ClerkGeneral Industry/Product Exam
RR
Series 25
Date: 7/11/2000
NYSE Trading Assistant ExaminationSRO 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.
