TS
Theresa S. Serafimovski
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Brighton, MI
Some features on this profile are disabled
CRD#: 4698367
TS
Professional summary
Theresa Sharon Serafimovski, who also goes by Theresa Sharon Williams, Theresa Sharon Williams Serafimovski, Theresa Sharon Williams-serafimovski, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Brighton, Michigan.
Theresa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Theresa has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Theresa Sharon Williams | Theresa Sharon Williams Serafimovski | Theresa Sharon Williams-Serafimovski
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) THERESA S SERAFIMOVSKI ESQ POSITION: Attorney NATURE: Legal services INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2016 ADDRESS: Home Address, Brighton MI 48114 DESCRIPTION: General legal services provided as a licensed Attorney in the State of Michigan 2) CUSTOM LEGAL PLANNING PLLC POSITION: Single member of Professional Limited Liability Company NATURE: Legal services INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 10/07/2016 ADDRESS: PO Box 1985, Brighton MI 48116 DESCRIPTION: General legal services provided as a licensed Attorney in the State of Michigan
CRS (Client Relationship Summary) - RIA
Click below to view Theresa Sharon Serafimovski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Theresa Sharon Serafimovski'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
September 22, 2011 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 777 E. Eisenhower Parkway Suite 100, Ann Arbor, MI 48108RIA
BD
CRD#: 20472
Brighton, MI
Current
September 20, 2011 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 777 E. Eisenhower Parkway Suite 100, Ann Arbor, MI 48108RIA
BD
CRD#: 20472
Brighton, MI
Past
November 30, 2009 - June 29, 2011
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
ANN ARBOR, MI
Past
November 23, 2009 - June 28, 2011
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
ANN ARBOR, MI
Past
January 29, 2008 - November 5, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
BLOOMFIELD HILLS, MI
Past
January 29, 2008 - November 5, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
BLOOMFIELD HILLS, MI
Past
October 22, 2007 - January 2, 2008
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
NOVI, MI
Past
October 22, 2007 - January 2, 2008
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
NOVI, MI
Past
September 21, 2007 - October 16, 2007
COMERICA SECURITIES
RIA
CRD#: 17079
DETROIT, MI
Past
September 21, 2007 - October 16, 2007
COMERICA SECURITIES
BD
CRD#: 17079
DETROIT, MI
Past
July 6, 2005 - September 5, 2007
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
CANTON, MI
Past
July 6, 2005 - September 5, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CANTON, MI
Past
June 27, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
CANTON, MI
Past
September 8, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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
Florida(9/20/2011)
RR
Michigan(9/20/2011)
IAR
Michigan(9/22/2011)
RR
Ohio(9/21/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
