KR
Kim Y. Richards
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Charlottte, NC
Some features on this profile are disabled
CRD#: 4574032
KR
Professional summary
Kim Yvette Richards, who also goes by Kim Y Richards, Kim Richards, Kim Y Warren, Kim Yvette Warren, Kim Warren, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Charlottte, North Carolina.
Kim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kim has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kim Y Richards | Kim Richards | Kim Y Warren | Kim Yvette Warren | Kim Warren
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) THE JOHN RICHARDS GROUP, LLC POSITION: MEMBER NATURE: An LLC formed for the protection of family-owned real estate property, which currently receives rental income. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/14/2015 ADDRESS: Home Address, CHARLOTTE NC 28210, United States DESCRIPTION: I have a passive role, where I do not participate in the day-to-day operations or decision-making. (2) NORTH CAROLINA DEPARTMENT OF THE SECRETARY OF STATE POSITION: Notary Public NATURE: The Department of the Secretary of State works with the private and public sectors to help strengthen North Carolina's economy. There are many divisions within the Department. The Authentication Section authenticates documents, such as adoption papers and other documents to be used overseas. The Business Registration Division handles the creation of new companies and maintains corporate documents. The Office of International Services serves as a point of contact for International visitors and other governmental agencies on non-commercial matters. The Publications Division publishes the N.C. Manual, the Directory of State and County Officials of N.C. and other materials, and acts as the custodian for the original 1868 N.C. Constitution and the Book of Oaths. This division is also responsible for the filing of non-commercial international agreements. The Securities Division regulates investment advising, the selling of stocks and bonds and loan broker registration. The Solicitation Licensing Section oversees charitable solicitation and fundraising contributions. The Notary Public section is responsible for administering the statewide notary program including issuing notary commissions to qualified applicants, developing notary training and testing materials for notary education, certifying notary instructors and enforcing the notary laws. https://www.sosnc.gov/divisions/notary INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/18/2025 ADDRESS: 2 South Salisbury Street, Raleigh NC 27601-2903, United States DESCRIPTION: Scope of role: A North Carolina notary is authorized to perform four types of notarial acts. 1. Acknowledgments, 2. Oaths and Affirmations, 3. Verifications or Proofs, 4. Signature Witnessing -- Core Responsibilities: 1. Verify Identity of Signer, 2. Complete a Notarial Certificate, 3. Follow the North Carolina Notary Public Act, 4. Avoid Unauthorized Practice of Law, 5. Keep a Journal (3) FLEXIBLE ME! PILATES STUDIO, LLC POSITION: Studio Director NATURE: Core Pilates Services: Private Pilates Sessions, Semi-Private Sessions, Group Reformer Classes, Mat Pilates Classes, Tower or Cadillac Pilates; Specialized Programs: Posture & Alignment Training, Injury Rehabilitation Pilates, Pre- & Postnatal Pilates, Senior Pilates, Sports-Specific Pilates; Wellness & Complementary Services: Stretch & Mobility Sessions, Pilates + Barre Fusion, Mind-Body Classes, Nutritional Coaching, Workshops & Events INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2025 ADDRESS: 4519 Howey Farm Dr, Waxhaw NC 28173-9818, United States DESCRIPTION: Business management, Client Experience & Relationships, Program Development, Teaching, Community & Brand Building, Continuous Improvement
CRS (Client Relationship Summary) - RIA
Click below to view Kim Yvette Richards's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kim Yvette Richards'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 8, 2022 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262RIA
BD
CRD#: 20472
Charlottte, NC
Current
December 7, 2021 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262RIA
BD
CRD#: 20472
Charlotte, NC
Past
May 6, 2021 - August 3, 2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, NC
Past
May 25, 2012 - July 25, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, NC
Past
June 3, 2004 - July 6, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, NC
Past
March 24, 2004 - May 24, 2004
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
CHARLOTTE, NC
Past
March 24, 2004 - May 24, 2004
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
November 15, 2002 - January 30, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CHARLOTTE, NC
Past
October 22, 2002 - January 30, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 22, 2002 - January 30, 2003
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
Alabama(1/3/2022)
RR
Alaska(1/3/2022)
RR
Arizona(1/3/2022)
RR
Arkansas(1/3/2022)
RR
California(1/3/2022)
RR
Colorado(1/3/2022)
RR
Connecticut(1/3/2022)
RR
Delaware(1/3/2022)
RR
District of Columbia(1/3/2022)
RR
Florida(1/3/2022)
RR
Georgia(1/3/2022)
RR
Hawaii(1/3/2022)
RR
Idaho(1/3/2022)
RR
Illinois(1/3/2022)
RR
Indiana(1/3/2022)
RR
Iowa(1/3/2022)
RR
Kansas(1/3/2022)
RR
Kentucky(1/3/2022)
RR
Louisiana(1/3/2022)
RR
Maine(1/3/2022)
RR
Maryland(1/3/2022)
RR
Massachusetts(1/3/2022)
RR
Michigan(1/3/2022)
RR
Minnesota(1/3/2022)
RR
Mississippi(1/3/2022)
RR
Missouri(1/3/2022)
RR
Montana(1/3/2022)
RR
Nebraska(1/3/2022)
RR
Nevada(1/3/2022)
RR
New Hampshire(1/3/2022)
RR
New Jersey(1/3/2022)
RR
New Mexico(1/3/2022)
RR
New York(1/3/2022)
RR
North Carolina(12/7/2021)
IAR
North Carolina(1/8/2022)
RR
North Dakota(1/3/2022)
RR
Ohio(1/4/2022)
RR
Oklahoma(1/3/2022)
RR
Oregon(1/3/2022)
RR
Pennsylvania(1/3/2022)
RR
Rhode Island(1/3/2022)
RR
South Carolina(1/3/2022)
RR
South Dakota(1/3/2022)
RR
Tennessee(1/3/2022)
RR
Texas(1/3/2022)
RR
Utah(1/3/2022)
RR
Vermont(1/3/2022)
RR
Virginia(1/3/2022)
RR
Washington(1/3/2022)
RR
West Virginia(1/3/2022)
RR
Wisconsin(1/3/2022)
RR
Wyoming(1/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
