TG
Thomas J. Gordon
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Auburn, GA
Some features on this profile are disabled
CRD#: 5664764
TG
Professional summary
Thomas James Gordon Jr, who also goes by Thomas James Gordon Jr, Thomas James Gordon, Tj Gordon, Thomas J Gordon Jr, Thomas J Gordon, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Auburn, Georgia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Thomas has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas James Gordon Jr | Thomas James Gordon | Tj Gordon | Thomas J Gordon Jr | Thomas J Gordon
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) - RIA
Click below to view Thomas James Gordon Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas James Gordon Jr'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 19, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: Six Concourse Parkway Suite 2600, Atlanta, GA 30328-6104RIA
BD
CRD#: 20472
Auburn, GA
Current
March 14, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: Six Concourse Parkway Suite 2600, Atlanta, GA 30328-6104RIA
BD
CRD#: 20472
Atlanta, GA
Past
March 10, 2021 - February 29, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DULUTH, GA
Past
March 9, 2021 - February 29, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DULUTH, GA
Past
February 28, 2018 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
ALPHARETTA, GA
Past
February 26, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
DULUTH, GA
Past
February 26, 2018 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
ALPHARETTA, GA
Past
July 21, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
February 21, 2017 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
LAWRENCEVILLE, GA
Past
October 1, 2012 - March 15, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
DUNWOODY, GA
Past
November 9, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
DUNWOODY, GA
Past
June 12, 2009 - August 26, 2009
DAWSON JAMES SECURITIES, INC.
BD
CRD#: 130645
BALTIMORE, MD
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(3/14/2024)
IAR
Alabama(8/14/2025)
RR
Alaska(3/14/2024)
RR
Arizona(3/14/2024)
RR
Arkansas(3/14/2024)
RR
California(3/14/2024)
RR
Colorado(3/14/2024)
RR
Connecticut(3/14/2024)
RR
Delaware(3/14/2024)
RR
District of Columbia(3/14/2024)
RR
Florida(3/14/2024)
RR
Georgia(3/14/2024)
IAR
Georgia(3/19/2024)
RR
Hawaii(3/14/2024)
RR
Idaho(3/14/2024)
RR
Illinois(3/14/2024)
RR
Indiana(3/14/2024)
RR
Iowa(3/14/2024)
RR
Kansas(3/14/2024)
RR
Kentucky(3/14/2024)
RR
Louisiana(3/14/2024)
RR
Maine(3/14/2024)
RR
Maryland(3/14/2024)
RR
Massachusetts(3/14/2024)
RR
Michigan(3/14/2024)
RR
Minnesota(3/14/2024)
RR
Mississippi(3/14/2024)
RR
Missouri(3/14/2024)
RR
Montana(3/14/2024)
RR
Nebraska(3/14/2024)
RR
Nevada(3/14/2024)
RR
New Hampshire(3/14/2024)
RR
New Jersey(3/14/2024)
RR
New Mexico(3/14/2024)
RR
New York(3/14/2024)
RR
North Carolina(3/14/2024)
RR
North Dakota(3/14/2024)
RR
Ohio(3/14/2024)
RR
Oklahoma(3/14/2024)
RR
Oregon(3/14/2024)
RR
Pennsylvania(3/14/2024)
RR
Rhode Island(3/14/2024)
RR
South Carolina(3/14/2024)
RR
South Dakota(3/14/2024)
RR
Tennessee(3/14/2024)
RR
Texas(3/14/2024)
IAR
Texas(8/14/2025)
RR
Utah(3/14/2024)
RR
Vermont(3/14/2024)
IAR
Vermont(8/14/2025)
RR
Virginia(3/14/2024)
RR
Washington(3/14/2024)
RR
West Virginia(3/14/2024)
RR
Wisconsin(3/14/2024)
RR
Wyoming(3/14/2024)
Exams
State Security Law Exam
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.
