FF
Frederick L. Freeman
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Durham, NC
Some features on this profile are disabled
CRD#: 5509926
FF
Professional summary
Frederick Lemont Freeman, who also goes by Frederick L Freeman, Frederick Lemont Freeman, Frederick L Freeeman, Frederick Lemont Freeeman, Frederick Freeman, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Durham, North Carolina.
Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Frederick has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frederick L Freeman | Frederick Lemont Freeman | Frederick L Freeeman | Frederick Lemont Freeeman | Frederick Freeman
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: Rental Property Position: Co-owner Nature: Rental property Investment Related: Yes Hours: 0 Securities Trading Hours: 0Start Date: 02/01/2000 Address: 809 Firebrick Dr., Cary NC 27519, United States Description: Rental property
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Lemont Freeman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frederick Lemont Freeman'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
March 1, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
BD
CRD#: 20472
Durham, NC
Current
March 1, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Trac, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
September 14, 2022 - February 21, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHAPEL HILL, NC
Past
September 14, 2022 - February 21, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHAPEL HILL, NC
Past
September 28, 2021 - March 24, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
DURHAM, NC
Past
August 3, 2021 - March 21, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
DURHAM, NC
Past
November 30, 2020 - July 29, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHAPEL HILL, NC
Past
November 30, 2020 - July 29, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHAPEL HILL, NC
Past
July 8, 2016 - November 6, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
Durham, NC
Past
July 8, 2016 - November 6, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
Durham, NC
Past
August 14, 2012 - June 23, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
RALEIGH, NC
Past
August 14, 2012 - June 23, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
RALEIGH, NC
Past
August 6, 2010 - January 19, 2012
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
RALEIGH, NC
Past
July 2, 2010 - January 19, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
RALEIGH, NC
Past
December 19, 2008 - June 29, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DURHAM, NC
Past
December 4, 2008 - June 29, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DURHAM, 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
Alabama(3/1/2023)
RR
Alaska(3/1/2023)
RR
Arizona(3/1/2023)
RR
Arkansas(3/1/2023)
RR
California(3/1/2023)
RR
Colorado(3/1/2023)
RR
Connecticut(3/1/2023)
RR
Delaware(3/1/2023)
RR
District of Columbia(3/1/2023)
RR
Florida(3/1/2023)
RR
Georgia(3/1/2023)
RR
Hawaii(3/1/2023)
RR
Idaho(3/1/2023)
RR
Illinois(3/1/2023)
RR
Indiana(3/1/2023)
RR
Iowa(3/1/2023)
RR
Kansas(3/1/2023)
RR
Kentucky(3/1/2023)
RR
Louisiana(3/1/2023)
RR
Maine(3/1/2023)
RR
Maryland(3/1/2023)
RR
Massachusetts(3/1/2023)
RR
Michigan(3/1/2023)
RR
Minnesota(3/1/2023)
RR
Mississippi(3/1/2023)
RR
Missouri(3/1/2023)
RR
Montana(3/1/2023)
RR
Nebraska(3/1/2023)
RR
Nevada(3/1/2023)
RR
New Hampshire(3/1/2023)
RR
New Jersey(3/1/2023)
RR
New Mexico(3/1/2023)
RR
New York(3/1/2023)
RR
North Carolina(3/1/2023)
IAR
North Carolina(3/1/2023)
RR
North Dakota(3/1/2023)
RR
Ohio(3/1/2023)
RR
Oklahoma(3/1/2023)
RR
Oregon(3/1/2023)
RR
Pennsylvania(3/1/2023)
RR
Rhode Island(3/1/2023)
RR
South Carolina(3/1/2023)
RR
South Dakota(3/1/2023)
RR
Tennessee(3/1/2023)
RR
Texas(3/1/2023)
RR
Utah(3/1/2023)
RR
Vermont(3/1/2023)
RR
Virginia(3/1/2023)
RR
Washington(3/1/2023)
RR
West Virginia(3/1/2023)
RR
Wisconsin(3/1/2023)
RR
Wyoming(3/1/2023)
Exams
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
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.
