John P. Vanden Boogaard
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.
John Patrick Vanden Boogaard, who also goes by J P Vanden Boogaard, John P Vanden Boogaard, John Patrick Vandenboogaard, Jp Vandenboogaard, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2002. John had worked at 9 firms and has passed the Series 66, Series 63, 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
November 14, 2014 - November 16, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 14, 2014 - November 16, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 16, 2011 - October 22, 2014
CHARLES SCHWAB & CO., INC.
September 16, 2011 - October 22, 2014
CHARLES SCHWAB & CO., INC.
July 26, 2010 - August 25, 2011
TD AMERITRADE, INC.
July 26, 2010 - August 25, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 22, 2010 - August 25, 2011
TD AMERITRADE, INC.
February 22, 2010 - June 1, 2010
SELECT CAPITAL CORPORATION
August 7, 2009 - November 4, 2009
THE LEADERS GROUP, INC.
April 11, 2006 - April 7, 2009
METLIFE INVESTORS DISTRIBUTION COMPANY
April 11, 2005 - June 6, 2005
ALLSPRING FUNDS DISTRIBUTOR, LLC
July 3, 2002 - April 11, 2005
STRONG INVESTMENTS, INC.
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.
