RR
Ralph W. Romanello
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Newington, CT
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CRD#: 4266887
RR
Professional summary
Ralph Wayne Romanello, who also goes by Ralph W. Romanello, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Newington, Connecticut.
Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Ralph has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 25 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ralph W. Romanello
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 Ralph Wayne Romanello's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ralph Wayne Romanello'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
April 30, 2010 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: One Hamden Center 2319 Whitney Avenue, Suite 6a, Hamden, CT 06518RIA
BD
CRD#: 20472
Newington, CT
Current
April 30, 2010 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: One Hamden Center 2319 Whitney Avenue, Suite 6a, Hamden, CT 06518RIA
BD
CRD#: 20472
HAMDEN, CT
Past
August 20, 2008 - March 19, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MERIDEN, CT
Past
August 20, 2008 - March 19, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MERIDEN, CT
Past
May 29, 2007 - August 22, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 5, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
OSSINING, NY
Past
January 15, 2004 - May 17, 2004
HLA SECURITIES INC
BD
CRD#: 32713
NEW YORK, NY
Past
January 12, 2004 - May 12, 2004
SDS SECURITIES CORP.
BD
CRD#: 129413
NEW YORK, NY
Past
October 31, 2002 - January 2, 2004
DIRECT ACCESS PARTNERS LLC
BD
CRD#: 120950
NEW YORK, NY
Past
August 25, 1999 - November 14, 2002
BREAN MURRAY & CO., INC.
BD
CRD#: 7541
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(9/1/2022)
RR
Arizona(1/5/2016)
RR
California(3/24/2020)
RR
Colorado(12/3/2018)
RR
Connecticut(4/30/2010)
IAR
Connecticut(4/30/2010)
RR
District of Columbia(6/24/2025)
RR
Florida(11/29/2018)
RR
Maine(7/8/2019)
RR
Massachusetts(4/30/2010)
RR
New Hampshire(7/20/2017)
RR
New Jersey(1/5/2016)
RR
New York(4/30/2010)
RR
North Carolina(8/31/2020)
RR
Ohio(12/3/2018)
RR
Pennsylvania(9/29/2023)
RR
Rhode Island(4/6/2021)
RR
Texas(1/23/2025)
IAR
Texas(8/21/2025)
RR
Vermont(8/22/2019)
IAR
Vermont(8/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 3/23/2000
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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
