LD
Louis J. Delorenzo
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
East Greenwich, RI
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CRD#: 4475177
LD
Professional summary
Louis Jude Delorenzo, who also goes by Louis Delorenzo, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in East Greenwich, Rhode Island.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Louis has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Louis Delorenzo
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: Chipshots Sports Photography Position: Photographer Nature: Sports Photography Investment Related: No Hours: 20 Securities Trading Hours: 0 Start Date: 04/02/2018 Address: Home Address, East Greenwich RI 02818, United States Description: Sports Photographer
CRS (Client Relationship Summary) - RIA
Click below to view Louis Jude Delorenzo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Louis Jude Delorenzo'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
May 29, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 15 Park Row West Suite 102, Providence, RI 02903RIA
BD
CRD#: 20472
East Greenwich, RI
Current
May 29, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 15 Park Row West Suite 102, Providence, RI 02903RIA
BD
CRD#: 20472
Providence, RI
Past
July 20, 2021 - May 14, 2024
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
JOHNSTON, RI
Past
July 15, 2021 - May 14, 2024
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
JOHNSTON, RI
Past
April 21, 2021 - July 17, 2021
SCHWAB WEALTH ADVISORY, INC.
RIA
CRD#: 159035
Chicago, IL
Past
March 9, 2021 - April 21, 2021
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Chicago, IL
Past
March 9, 2021 - July 17, 2021
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Chicago, IL
Past
November 22, 2004 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
CHICAGO, IL
Past
November 15, 2004 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHICAGO, IL
Past
February 13, 2003 - November 10, 2004
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW YORK, NY
Past
February 13, 2003 - November 10, 2004
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
April 24, 2002 - November 26, 2002
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW YORK, NY
Past
December 21, 2001 - November 26, 2002
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
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
Connecticut(5/29/2024)
RR
Massachusetts(5/29/2024)
RR
New Jersey(5/29/2024)
RR
New York(5/29/2024)
RR
Rhode Island(5/29/2024)
IAR
Rhode Island(5/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO 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.
