LC
Luis F. Castillo
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Austin, TX 78759
Some features on this profile are disabled
CRD#: 5158192
LC
Professional summary
Luis Felipe Castillo, who also goes by Luis Felipe Castillo, Luis Felipe Castillo, Felipe Castillo, Luis F Castillo, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Austin, Texas.
Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Luis has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Luis Felipe Castillo | Luis Felipe Castillo | Felipe Castillo | Luis F Castillo
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: Castillo and Canales Holdings, LLC Position: Silent Partner Nature: Rental Property Holding Company Investment Related: Yes Hours: 1 Securities Trading Hours: 0 Start Date: 12/14/2018 Address: Home Address, Austin TX 78730, United States Description: Silent Partner (2) Name: Luis Felipe Castillo Position: N/A Nature: I receive royalty income from books published in Amazon.com Investment Related: Yes Hours: 5 Securities Trading Hours: 0 Start Date: 11/20/2023 Address: Home Address, Austin TX 78730, United States Description: Professional Writer
CRS (Client Relationship Summary) - RIA
Click below to view Luis Felipe Castillo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Luis Felipe Castillo'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
February 23, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 9600 Great Hills Trail, Austin, TX 78759RIA
BD
CRD#: 20472
Austin, TX
Current
February 23, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 9600 Great Hills Trail, Austin, TX 78759RIA
BD
CRD#: 20472
Austin, TX
Past
October 31, 2022 - January 24, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
October 14, 2022 - January 24, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOUSTON, TX
Past
April 9, 2021 - October 14, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
HOUSTON, TX
Past
March 30, 2021 - October 14, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
HOUSTON, TX
Past
March 30, 2018 - October 4, 2019
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
Houston, TX
Past
March 30, 2018 - October 4, 2019
BBVA SECURITIES INC.
BD
CRD#: 27060
HOUSTON, TX
Past
October 5, 2017 - February 23, 2018
FROST INVESTMENT SERVICES
RIA
CRD#: 286129
HOUSTON, TX
Past
August 26, 2014 - February 23, 2018
FROST BROKERAGE SERVICES, INC.
BD
CRD#: 17465
SAN ANTONIO, TX
Past
December 19, 2013 - July 14, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HOUSTON, TX
Past
October 1, 2012 - November 7, 2013
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
HOUSTON, TX
Past
October 1, 2012 - November 7, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HOUSTON, TX
Past
May 7, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
HOUSTON, TX
Past
May 7, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HOUSTON, TX
Past
February 17, 2009 - April 28, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
HOUSTON, TX
Past
July 4, 2006 - April 28, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HOUSTON, 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
Texas(2/23/2024)
IAR
Texas(2/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General 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.
