BG
Bart K. Gregory
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Charlotte, NC
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CRD#: 4615974
BG
Bart Kendall GregoryTIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Professional summary
Bart Kendall Gregory, who also goes by Bart Kendall Gregory Mr., Bart Gregory, Kendall Gregory, Bart K Gregory, Bart Gregory Kendall, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Charlotte, North Carolina.
Bart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Bart has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Bart Kendall Gregory Mr. | Bart Gregory | Kendall Gregory | Bart K Gregory | Bart Gregory Kendall
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. 10/09/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Charlotte, NC - INV REL - Start Date 10/08/2025 - 160hrs/mth | 160hrs during trading 2. 10/09/2025 - BART KENDALL GREGORY N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Charlotte, NC - INV REL - Start Date 10/08/2025 - 160hrs/mth | 160hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view Bart Kendall Gregory's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bart Kendall Gregory'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
July 21, 2026 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262RIA
BD
CRD#: 20472
Charlotte, NC
Current
July 21, 2026 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262RIA
BD
CRD#: 20472
CHARLOTTE, NC
Past
November 17, 2025 - April 9, 2026
LPL ENTERPRISE, LLC
RIA
CRD#: 8733
CHARLOTTE, NC
Past
November 17, 2025 - April 9, 2026
LPL ENTERPRISE, LLC
BD
CRD#: 8733
CHARLOTTE, NC
Past
May 16, 2024 - October 13, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
May 16, 2024 - October 13, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHARLOTTE, NC
Past
May 9, 2023 - November 22, 2023
CREDIT UNION INVESTMENT SERVICES
RIA
CRD#: 144871
Mooresville, NC
Past
May 9, 2023 - November 22, 2023
SECU BROKERAGE SERVICES
BD
CRD#: 19899
MOORESVILLE, NC
Past
August 3, 2022 - April 25, 2023
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
CHARLOTTE, NC
Past
August 3, 2022 - April 25, 2023
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
Past
December 21, 2021 - August 1, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHARLOTTE, NC
Past
December 20, 2021 - August 1, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
CHARLOTTE, NC
Past
September 27, 2021 - October 1, 2021
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
JACKSONVILLE, FL
Past
August 26, 2015 - June 1, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
ORLANDO, FL
Past
August 19, 2015 - June 1, 2021
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Orlando, FL
Past
September 25, 2013 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JACKSONVILLE, FL
Past
August 6, 2013 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
JACKSONVILLE, FL
Past
January 23, 2007 - October 10, 2008
EDWARD JONES
RIA
CRD#: 250
ORLANDO, FL
Past
October 27, 2006 - October 10, 2008
EDWARD JONES
BD
CRD#: 250
ORLANDO, FL
Past
April 23, 2004 - April 11, 2006
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
October 20, 2003 - December 31, 2003
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
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(7/21/2026)
RR
Alaska(7/21/2026)
RR
Arizona(7/21/2026)
RR
Arkansas(7/21/2026)
RR
California(7/21/2026)
RR
Colorado(7/21/2026)
RR
Connecticut(7/21/2026)
RR
Delaware(7/21/2026)
RR
District of Columbia(7/21/2026)
RR
Florida(7/21/2026)
RR
Georgia(7/21/2026)
RR
Hawaii(7/21/2026)
RR
Idaho(7/21/2026)
RR
Illinois(7/21/2026)
RR
Indiana(7/21/2026)
RR
Iowa(7/21/2026)
RR
Kansas(7/21/2026)
RR
Kentucky(7/21/2026)
RR
Louisiana(7/21/2026)
RR
Maine(7/21/2026)
RR
Maryland(7/21/2026)
RR
Massachusetts(7/21/2026)
RR
Michigan(7/21/2026)
RR
Minnesota(7/21/2026)
RR
Mississippi(7/21/2026)
RR
Missouri(7/21/2026)
RR
Montana(7/21/2026)
RR
Nebraska(7/21/2026)
RR
Nevada(7/21/2026)
RR
New Hampshire(7/21/2026)
RR
New Jersey(7/21/2026)
RR
New Mexico(7/21/2026)
RR
New York(7/21/2026)
RR
North Carolina(7/21/2026)
IAR
North Carolina(7/21/2026)
RR
North Dakota(7/21/2026)
RR
Ohio(7/22/2026)
RR
Oklahoma(7/21/2026)
RR
Oregon(7/21/2026)
RR
Pennsylvania(7/21/2026)
RR
Rhode Island(7/21/2026)
RR
South Carolina(7/21/2026)
RR
South Dakota(7/21/2026)
RR
Tennessee(7/21/2026)
RR
Texas(7/21/2026)
RR
Utah(7/21/2026)
RR
Vermont(7/21/2026)
RR
Virginia(7/21/2026)
RR
Washington(7/21/2026)
RR
West Virginia(7/21/2026)
RR
Wisconsin(7/21/2026)
RR
Wyoming(7/21/2026)
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.
