Lila A. Zogaib-lippert
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.
Lila Ann Zogaib-lippert, who also goes by Lila Ann Lippert, Lila Ann Shalhoub, Lila Ann Zogaib, Lila Ann Zogaib-lippert, Lila Zogaib-lippert, was a registered financial professional .
Lila is a previously registered financial professional and started their career in finance in 2001. Lila had worked at 10 firms and has passed the Series 63, Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2017 - April 23, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 19, 2017 - April 23, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 9, 2017 - October 12, 2017
LINCOLN INVESTMENT
January 3, 2017 - October 12, 2017
LINCOLN INVESTMENT
May 19, 2016 - January 3, 2017
LEGEND EQUITIES CORPORATION
May 9, 2016 - October 12, 2017
LEGEND ADVISORY, LLC
March 28, 2013 - July 9, 2014
STRATEGIC ADVISERS LLC
September 15, 2010 - July 7, 2014
FIDELITY BROKERAGE SERVICES LLC
March 31, 2010 - July 22, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
May 1, 2007 - March 5, 2008
FIDELITY BROKERAGE SERVICES LLC
September 27, 2006 - April 13, 2007
COMERICA SECURITIES
September 27, 2006 - April 13, 2007
COMERICA SECURITIES
July 3, 2006 - September 8, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - September 8, 2006
CHASE INVESTMENT SERVICES CORP.
August 30, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
May 9, 2001 - February 19, 2004
COMERICA SECURITIES
Primary Firm SEC Registration
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472 / SEC#: 801-63550, 8-44454
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472 / SEC#: 801-63550, 8-44454
Contact information
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.
