JM
Jonathan P. Moyer
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
East Amherst, NY
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CRD#: 4658619
JM
Professional summary
Jonathan Phillip Moyer, CFP® is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in East Amherst, New York.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Jonathan has worked at 7 firms and has passed the Series 66, SIE and Series 7 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.
WESTERN NEW YORK BLOODCARE POSITION: MEMBER, BOARD OF DIRECTORS NATURE: PURPOSE IS TO ASSIST CLIENTS IN WESTERN NY WHO HAVE HEMOPHILIA OR OTHER BLOOD DISORDERS REQUIRING MEDICAL MANAGEMENT . INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: 1010 Main St Suite 300, BUFFALO NY 14202, United States DESCRIPTION: PURPOSE IS TO ASSIST CLIENTS IN WESTERN NY WHO HAVE HEMOPHILIA OR OTHER BLOOD DISORDERS REQUIRING MEDICAL MANAGEMENT
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Phillip Moyer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Phillip Moyer'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®
CFP®
Start date: 2011
Experience
Current
October 2, 2012 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 100 Corporate Parkway Suite 112, Amherst, NY 14226RIA
BD
CRD#: 20472
East Amherst, NY
Current
October 2, 2012 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 100 Corporate Parkway Suite 112, Amherst, NY 14226RIA
BD
CRD#: 20472
Amherst, NY
Past
December 1, 2010 - September 8, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
ALBANY, NY
Past
October 2, 2009 - November 12, 2010
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ALBANY, NY
Past
October 2, 2009 - November 12, 2010
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ALBANY, NY
Past
February 13, 2009 - February 18, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
EAST GREENBUSH, NY
Past
February 12, 2009 - September 4, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
EAST GREENBUSH, NY
Past
September 26, 2006 - November 25, 2008
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
LATHAM, NY
Past
July 16, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 16, 2003 - August 15, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ALBANY, 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(10/2/2012)
RR
California(3/30/2017)
RR
Colorado(11/21/2024)
RR
Connecticut(1/21/2025)
RR
Delaware(11/27/2018)
RR
District of Columbia(6/14/2023)
RR
Florida(10/2/2012)
RR
Georgia(11/27/2018)
RR
Illinois(12/3/2018)
RR
Indiana(5/20/2021)
RR
Kansas(1/4/2021)
RR
Maine(4/30/2020)
RR
Maryland(8/28/2014)
RR
Massachusetts(1/10/2019)
RR
Michigan(10/2/2012)
RR
New Jersey(10/2/2012)
RR
New York(10/2/2012)
IAR
New York(5/25/2021)
RR
North Carolina(12/12/2023)
RR
Ohio(2/24/2015)
RR
Oklahoma(10/18/2021)
RR
Pennsylvania(10/2/2012)
RR
Texas(12/3/2018)
IAR
Texas(8/19/2025)
RR
Vermont(10/10/2012)
IAR
Vermont(8/25/2025)
RR
Virginia(11/21/2024)
RR
Washington(10/23/2019)
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.
