Samuel A. Turvey
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.
Samuel A Turvey, who also goes by Samuel A. Turvey, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2002. Samuel had worked at 6 firms and has passed the SIE, Series 7 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2008 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
October 8, 2008 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 17, 2006 - August 7, 2008
J.P. MORGAN SECURITIES LLC
August 22, 2003 - December 2, 2004
MORGAN STANLEY & CO. LLC
October 16, 2002 - December 2, 2004
MORGAN STANLEY DW INC.
February 28, 2002 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
TEACHERS PERSONAL INVESTORS SERVICES, INC.
CRD#: 36130 / SEC#: , 8-47051
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TIAA-CREF ASSET MANAGEMENT LLC | SHAREHOLDER | |
| LEE, CHRISTY ROSS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 4926666 |
| LEE, CHRISTY ROSS | CHIEF FINANCIAL OFFICER | 4926666 |
| PIERRE-MERRITT, MARJORIE | CORPORATE SECRETARY | 5308970 |
| RAUSCHENBACH, KEITH HENRY | PRESIDENT, COO & DIRECTOR | 1719526 |
| SMITH, SHANITA SPIVEY | CHIEF COMPLIANCE OFFICER | 5174146 |
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.
