LJ
Lloyd W. Johnson
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Waltham, MA 02451
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CRD#: 4655802
LJ
Professional summary
Lloyd Ward Johnson, CFP®, who also goes by L. Ward Johnson, L Ward Johnson, Lward Johnson, Lloyd W Johnson, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Waltham, Massachusetts.
Lloyd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Lloyd has worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
L. Ward Johnson | L Ward Johnson | Lward Johnson | Lloyd W Johnson
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: Advocates, Inc. Position: Clinician Nature: Psychiatric evaluations/mental health Investment Related: No Hours: 15 Securities Trading Hours: 0 Start Date: 04/01/2018 Address: 1094 Worcester Road, Framingham MA 01701, United States Description: Perform psychiatric evaluations for individuals in the community experiencing mental health crises that is determined to be a danger to themselves, others, or they are experiencing symptoms of psychosis.
CRS (Client Relationship Summary) - RIA
Click below to view Lloyd Ward Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lloyd Ward Johnson'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®
Experience
Current
August 20, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 225 Wyman Street, Waltham, MA 02451RIA
BD
CRD#: 20472
Waltham, MA
Current
July 21, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 225 Wyman Street, Waltham, MA 02451RIA
BD
CRD#: 20472
Waltham, MA
Past
January 15, 2020 - May 31, 2023
KELLY FINANCIAL SERVICES LLC
RIA
CRD#: 291996
BRAINTREE, MA
Past
February 28, 2017 - January 14, 2020
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
WORCESTER, MA
Past
January 26, 2017 - January 14, 2020
SANTANDER SECURITIES LLC
BD
CRD#: 41791
WORCESTER, MA
Past
January 4, 2016 - August 1, 2016
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
DEDHAM, MA
Past
August 16, 2013 - September 16, 2015
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WARWICK, RI
Past
October 2, 2007 - July 15, 2013
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
July 5, 2006 - July 9, 2007
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
May 6, 2003 - November 3, 2005
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, 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
Arizona(9/20/2024)
RR
Florida(12/3/2024)
RR
Maryland(1/2/2025)
RR
Massachusetts(8/7/2023)
IAR
Massachusetts(8/20/2023)
RR
New Hampshire(1/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/21/2023
General Securities Representative ExaminationGeneral 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 |
|---|---|---|
| 01/23/2025 | ||
| 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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