KP
Kenneth C. Powell
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Frisco, TX 75034
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CRD#: 5261046
KP
Professional summary
Kenneth Charles Powell, who also goes by Kenneth C Powell, Kenneth Powell, is a registered financial professional currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Frisco, Texas.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2007. Kenneth has worked at 4 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kenneth C Powell | Kenneth Powell
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Charles Powell'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 19, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Hub, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
August 7, 2019 - December 31, 2020
HORACE MANN INVESTORS, INC.
BD
CRD#: 11643
Irving, TX
Past
November 16, 2018 - July 24, 2019
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
ADDISON, TX
Past
June 17, 2013 - May 17, 2018
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
HIGHLAND VILLAGE, TX
Past
May 18, 2007 - December 31, 2011
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
HIGHLAND VILLAGE, 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.
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(3/20/2023)
RR
Alaska(4/5/2023)
RR
Arizona(3/28/2023)
RR
Arkansas(4/5/2023)
RR
California(3/21/2023)
RR
Colorado(3/20/2023)
RR
Connecticut(3/20/2023)
RR
Delaware(3/23/2023)
RR
District of Columbia(3/21/2023)
RR
Florida(3/21/2023)
RR
Georgia(3/23/2023)
RR
Hawaii(3/21/2023)
RR
Idaho(3/20/2023)
RR
Illinois(3/21/2023)
RR
Indiana(3/20/2023)
RR
Iowa(3/20/2023)
RR
Kansas(3/20/2023)
RR
Kentucky(3/23/2023)
RR
Louisiana(3/20/2023)
RR
Maine(3/20/2023)
RR
Maryland(3/21/2023)
RR
Massachusetts(3/21/2023)
RR
Michigan(3/22/2023)
RR
Minnesota(3/20/2023)
RR
Mississippi(3/21/2023)
RR
Missouri(3/21/2023)
RR
Montana(3/20/2023)
RR
Nebraska(3/20/2023)
RR
Nevada(3/24/2023)
RR
New Hampshire(3/23/2023)
RR
New Jersey(4/5/2023)
RR
New Mexico(3/20/2023)
RR
New York(3/21/2023)
RR
North Carolina(3/20/2023)
RR
North Dakota(3/27/2023)
RR
Ohio(3/20/2023)
RR
Oklahoma(3/22/2023)
RR
Oregon(3/21/2023)
RR
Pennsylvania(3/21/2023)
RR
Rhode Island(3/27/2023)
RR
South Carolina(4/7/2023)
RR
South Dakota(3/21/2023)
RR
Tennessee(3/23/2023)
RR
Texas(3/20/2023)
RR
Utah(3/20/2023)
RR
Vermont(3/21/2023)
RR
Virgin Islands(9/11/2025)
RR
Virginia(3/20/2023)
RR
Washington(3/20/2023)
RR
West Virginia(4/10/2023)
RR
Wisconsin(3/20/2023)
RR
Wyoming(3/21/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 9/2/2022
Investment Company Products/Variable Contracts 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.
Company Information
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472Frisco, TX 75034TRUST BUT VERIFY
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