MB
Michael E. Berkley
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Waltham, MA 02451
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CRD#: 4571279
MB
Professional summary
Michael Evan Berkley is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Waltham, Massachusetts.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 9 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 10, Series 53, Series 4, Series 9, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) FINRA DISTRICT OFFICE; 99 HIGH STREET, SUITE 900, BOSTON, MA 02110; START DATE JUNE 2009; 0 - 5 HRS PER MONTH; DURING SECURITIES TRADING HOURS; ARBITRATOR; INDUSTRY ARBITRATOR THAT SITS ON A PANEL FOR DISPUTES BETWEEN FIRMS AND THE PUBLIC (2) NOTARY POSITION: Public Notary NATURE: Notarize papers for individuals INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/17/2020 ADDRESS: Home Address, Sharon MA 02067, United States DESCRIPTION: Notarizing documents (3) SHARON YOUTH BASEBALL AND SOFTBALL ASSOCIATION POSITION: Director NATURE: The Association is a non-profit corporation pursuant to Section 501(c)(3) of the Internal Revenue Code and is established to maintain an association of person interested in the Town of Sharon Youth Baseball and Softball Programs. The Sharon Youth Baseball and Softball Association is a program of service to youth. Its goal is to provide children with an enjoyable baseball and softball experience, which includes learning the basic skills of the games, teaching and instructing youth in the rules of the game, promoting teamwork, and developing skills necessary to play youth baseball and softball safely. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/17/2024 ADDRESS: P.O. Box 181, Sharon MA 02067, United States DESCRIPTION: Board Member (4) SHARON HIGH SCHOOL ATHLETICS BOOSTERS POSITION: President NATURE: The Sharon High School Athletics Boosters is a registered 501(c)(3) charity organization of parents, faculty, and community volunteers, dedicated to the support and advocacy of the athletic programs at Sharon High School (SHS). We provide supplemental funding for the needs of coaches and players that the Athletic User Fee does not cover. Our fundraising is primarily a result of voluntary efforts and donations from family, friends of the program, and members of the community. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/12/2025 ADDRESS: 181 Pond Street, Sharon MA 02067, United States DESCRIPTION: Volunteer work and attend meetings
CRS (Client Relationship Summary) - RIA
Click below to view Michael Evan Berkley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Evan Berkley'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
January 22, 2015 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 225 Wyman Street, Waltham, MA 02451RIA
BD
CRD#: 20472
Waltham, MA
Current
January 15, 2015 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 225 Wyman Street, Waltham, MA 02451RIA
BD
CRD#: 20472
Waltham, MA
Past
August 18, 2009 - November 21, 2014
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
INDIANAPOLIS, IN
Past
August 17, 2009 - November 21, 2014
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
May 13, 2009 - May 26, 2009
OSAIC FS, INC.
BD
CRD#: 3870
BRAINTREE, MA
Past
April 20, 2007 - May 22, 2009
U.S. FINANCIAL ADVISORS
RIA
CRD#: 108763
BRAINTREE, MA
Past
April 5, 2007 - May 22, 2009
U.S. WEALTH ADVISORS, LLC.
BD
CRD#: 126924
BRAINTREE, MA
Past
April 25, 2006 - March 23, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BOSTON, MA
Past
May 16, 2005 - April 3, 2006
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
BOSTON, MA
Past
February 1, 2005 - April 3, 2006
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
February 1, 2005 - April 12, 2006
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
December 17, 2002 - January 19, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 18, 2002 - January 19, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Massachusetts(1/15/2015)
IAR
Massachusetts(1/22/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472Waltham, MA 02451TRUST BUT VERIFY
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