BW
Brett A. Wood
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Highland Village, TX
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CRD#: 4853352
BW
Professional summary
Brett Allen Wood, who also goes by Brett Allen Wood, Brett A Wood, Brett Wood, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Highland Village, Texas.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brett has worked at 9 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brett Allen Wood | Brett A Wood | Brett Wood
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.
Wood Financial; Financial Advisor; Insurance Sales (Fixed Life & Annuities, Health, Disability, vision, LTC sales); approx. 8-10 hours per month; approx. 4 hours per month during trading hours; similar clientele
CRS (Client Relationship Summary) - RIA
Click below to view Brett Allen Wood's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brett Allen Wood'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
January 25, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
Highland Village, TX
Current
March 22, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
July 15, 2021 - January 16, 2024
CORECAP ADVISORS
RIA
CRD#: 158819
Highland Village, TX
Past
May 28, 2013 - March 13, 2015
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
FRISCO, TX
Past
May 21, 2013 - March 13, 2015
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
FRISCO, TX
Past
January 16, 2009 - July 6, 2012
NEW ENGLAND SECURITIES
RIA
CRD#: 615
DALLAS, TX
Past
December 22, 2008 - July 6, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
DALLAS, TX
Past
October 11, 2007 - December 17, 2008
OSAIC FS, INC.
BD
CRD#: 3870
PLANO, TX
Past
April 27, 2007 - October 17, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ADDISON, TX
Past
March 16, 2006 - February 23, 2007
OSAIC FA, INC.
RIA
CRD#: 3978
DALLAS, TX
Past
March 16, 2006 - June 12, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
DALLAS, TX
Past
March 14, 2006 - February 23, 2007
OSAIC FA, INC.
BD
CRD#: 3978
DALLAS, TX
Past
November 4, 2004 - February 23, 2006
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
November 3, 2004 - February 23, 2006
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
PLANO, TX
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(4/16/2024)
RR
Alaska(4/18/2024)
RR
Arizona(5/3/2024)
RR
Arkansas(4/23/2024)
RR
California(4/16/2024)
RR
Colorado(4/17/2024)
RR
Connecticut(4/16/2024)
RR
Delaware(4/23/2024)
RR
District of Columbia(4/17/2024)
RR
Florida(4/17/2024)
RR
Georgia(4/18/2024)
RR
Hawaii(4/19/2024)
RR
Idaho(4/24/2024)
RR
Illinois(4/30/2024)
RR
Indiana(4/17/2024)
RR
Iowa(4/19/2024)
RR
Kansas(4/16/2024)
RR
Kentucky(4/23/2024)
RR
Louisiana(4/16/2024)
RR
Maine(4/16/2024)
RR
Maryland(4/22/2024)
RR
Massachusetts(4/17/2024)
RR
Michigan(4/18/2024)
RR
Minnesota(4/16/2024)
RR
Mississippi(4/16/2024)
RR
Missouri(4/16/2024)
RR
Montana(4/25/2024)
RR
Nebraska(4/16/2024)
RR
Nevada(4/22/2024)
RR
New Hampshire(4/16/2024)
RR
New Jersey(4/17/2024)
RR
New Mexico(4/16/2024)
RR
New York(4/16/2024)
RR
North Carolina(4/17/2024)
RR
North Dakota(4/22/2024)
RR
Ohio(4/16/2024)
RR
Oklahoma(4/18/2024)
RR
Oregon(4/17/2024)
RR
Pennsylvania(4/17/2024)
RR
Rhode Island(4/17/2024)
RR
South Carolina(4/16/2024)
RR
South Dakota(4/16/2024)
RR
Tennessee(4/17/2024)
IAR
Texas(1/25/2024)
RR
Texas(4/16/2024)
RR
Utah(4/16/2024)
RR
Vermont(4/17/2024)
RR
Virginia(4/16/2024)
RR
Washington(4/16/2024)
RR
West Virginia(4/25/2024)
RR
Wisconsin(4/16/2024)
RR
Wyoming(4/25/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/22/2024
General Securities Representative ExaminationGeneral 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.
