Susan M. Chevalier
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES | Financial Consultant
Rancho Cucamonga, CA
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CRD#: 4662882
Professional summary
Susan Margaret Chevalier, who also goes by Susan Margaret Charles, Susan M Chevalier, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Rancho Cucamonga, California.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Susan has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
As your Financial Consultant, I partner with you and your family to understand your unique situation and create meaningful financial plans through all of life's stages. I am passionate about ensuring my clients feel empowered to pursue their financial goals with confidence.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Margaret Charles | Susan M Chevalier
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) Name: University of Redlands Position: Adjunct professor Nature: The University of Redlands is a private university headquartered in Redlands, California. They offer traditional undergraduate liberal arts degree programs within the College of Arts and Sciences, along with graduate programs in business, education, communicative disorders, music and geographic information systems. Investment Related: No Hours: 4Securities Trading Hours: 0Start Date: 03/10/2020 Address: 1200 E Colton Ave, Redlands CA 92373, United States Description: As an Adjunct Professor, I periodically teach in the School of Business, provide classroom instruction and mentor students. (2) RENTAL POSITION: Landlord NATURE: Residential rental INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/28/2003 ADDRESS: 10702 Springfield Dr, Rancho Cucamonga CA 91730, United States DESCRIPTION: Monitor activity (3) RENTAL PROPERTY POSITION: Landlord NATURE: Residential rental INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/29/2009 ADDRESS: 3612 Urquidez Av, Glendale CA 91208, United States DESCRIPTION: Monitor activity
CRS (Client Relationship Summary) - RIA
Click below to view Susan Margaret Chevalier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susan Margaret Chevalier'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®
NoneEducation
University of San Francisco
Master of Business Administration (MBA) - Executive Program
2018
California Poly State University, Pomona
Bachelor of Science (BS) - Business & Human Resources
1990
Experience
Current
January 29, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 35 North Lake Avenue Suite 800, Pasadena, CA 91101RIA
BD
CRD#: 20472
Rancho Cucamonga, CA
Current
January 29, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 35 North Lake Avenue Suite 800, Pasadena, CA 91101RIA
BD
CRD#: 20472
Pasadena, CA
Past
September 25, 2020 - January 18, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
RANCHO CUCAMONGA, CA
Past
June 26, 2020 - January 16, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
RANCHO CUCAMONGA, CA
Past
May 10, 2016 - January 15, 2019
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
SAN FRANCISCO, CA
Past
August 20, 2005 - April 19, 2016
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
LOS ANGELES, CA
Past
July 30, 2003 - August 20, 2005
BACAP DISTRIBUTORS, LLC
BD
CRD#: 46088
CHARLOTTE, NC
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
California(1/29/2024)
IAR
California(1/29/2024)
Exams
State Security Law Exam
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
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Company Information
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Financial ConsultantCRD#: 20472Rancho Cucamonga, CATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
