NG
Neil C. Guarniere
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Frisco, TX 75034
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CRD#: 4603456
NG
Professional summary
Neil Christopher Guarniere, who also goes by Neil C Guanknicke, Neil C Guarinere, Neil Guarinere, Neil C Guarniere, Neil Guarniere, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Frisco, Texas.
Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Neil has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Neil C Guanknicke | Neil C Guarinere | Neil Guarinere | Neil C Guarniere | Neil Guarniere
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Neil Christopher Guarniere's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Neil Christopher Guarniere'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
December 23, 2025 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Current
December 23, 2025 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
September 16, 2025 - November 13, 2025
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Fort Worth, TX
Past
September 16, 2025 - November 13, 2025
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Fort Worth, TX
Past
January 13, 2025 - September 8, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GARDEN CITY, NY
Past
January 13, 2025 - September 8, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GARDEN CITY, NY
Past
January 24, 2023 - January 2, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
LAKE GROVE, NY
Past
January 24, 2023 - January 2, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
LAKE GROVE, NY
Past
October 6, 2022 - December 16, 2022
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WOODBURY, NY
Past
October 6, 2022 - December 16, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
WOODBURY, NY
Past
January 25, 2022 - June 27, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Richardson, TX
Past
January 25, 2022 - June 27, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Richardson, TX
Past
October 14, 2020 - December 31, 2021
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
JERICHO, NY
Past
October 14, 2020 - December 31, 2021
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
JERICHO, NY
Past
July 14, 2020 - September 16, 2020
LINCOLN INVESTMENT
RIA
CRD#: 519
AUSTIN, TX
Past
July 14, 2020 - September 16, 2020
LINCOLN INVESTMENT
BD
CRD#: 519
AUSTIN, TX
Past
March 6, 2020 - March 11, 2020
MASTERPIECE CAPITAL, LLC
RIA
CRD#: 290075
AUSTIN, TX
Past
February 24, 2020 - March 3, 2020
LIME TRADING CORP
BD
CRD#: 11826
NEW YORK, NY
Past
September 17, 2019 - November 12, 2019
LION STREET ADVISORS, LLC
RIA
CRD#: 167610
Austin, TX
Past
September 16, 2019 - November 1, 2019
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
AUSTIN, TX
Past
December 4, 2017 - June 25, 2019
LINCOLN INVESTMENT
RIA
CRD#: 519
AUSTIN, TX
Past
December 4, 2017 - June 25, 2019
CAPITAL ANALYSTS
RIA
CRD#: 162200
Austin, TX
Past
October 19, 2015 - June 25, 2019
LINCOLN INVESTMENT
BD
CRD#: 519
AUSTIN, TX
Past
February 12, 2013 - November 25, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
MASSAPEQUA, NY
Past
January 26, 2012 - March 22, 2012
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
HOUSTON, TX
Past
January 1, 2010 - February 11, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MELVILLE, NY
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(1/5/2026)
RR
Alaska(1/5/2026)
RR
Arizona(1/5/2026)
RR
Arkansas(1/5/2026)
RR
California(1/5/2026)
RR
Colorado(1/5/2026)
RR
Connecticut(1/5/2026)
RR
Delaware(1/5/2026)
RR
District of Columbia(1/5/2026)
RR
Florida(1/5/2026)
RR
Georgia(1/5/2026)
RR
Hawaii(1/5/2026)
RR
Idaho(1/5/2026)
RR
Illinois(1/5/2026)
RR
Indiana(1/5/2026)
RR
Iowa(1/5/2026)
RR
Kansas(1/5/2026)
RR
Kentucky(1/5/2026)
RR
Louisiana(1/5/2026)
RR
Maine(1/5/2026)
RR
Maryland(1/5/2026)
RR
Massachusetts(1/5/2026)
RR
Michigan(1/5/2026)
RR
Minnesota(1/5/2026)
RR
Mississippi(1/5/2026)
RR
Missouri(1/5/2026)
RR
Montana(1/5/2026)
RR
Nebraska(1/5/2026)
RR
Nevada(1/5/2026)
RR
New Hampshire(1/5/2026)
RR
New Jersey(1/5/2026)
RR
New Mexico(1/5/2026)
RR
New York(1/5/2026)
RR
North Carolina(1/5/2026)
RR
North Dakota(1/5/2026)
RR
Ohio(1/5/2026)
RR
Oklahoma(1/5/2026)
RR
Oregon(1/5/2026)
RR
Pennsylvania(1/5/2026)
RR
Rhode Island(1/5/2026)
RR
South Carolina(1/5/2026)
RR
South Dakota(1/5/2026)
RR
Tennessee(1/5/2026)
RR
Texas(12/23/2025)
IAR
Texas(12/23/2025)
RR
Utah(1/5/2026)
RR
Vermont(1/5/2026)
RR
Virginia(1/5/2026)
RR
Washington(1/5/2026)
RR
West Virginia(1/5/2026)
RR
Wisconsin(1/5/2026)
RR
Wyoming(1/5/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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 |
|---|---|---|
| 01/22/2026 | ||
| 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#: 20472Frisco, TX 75034TRUST BUT VERIFY
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