MM
Michael J. Margolis
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Chicago, IL
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CRD#: 5697508
MM
Professional summary
Michael Jordan Margolis, who also goes by Mike Margolis, Michael J Margolis, Michael Margolis, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Chicago, Illinois.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Michael 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
Mike Margolis | Michael J Margolis | Michael Margolis
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.
MARGOLIS FAMILY ENTERPRISE LLC POSITION: CFO NATURE: My father Scott Margolis invented a multi use cup holder that was recently issued a utility patent. My father listed a members of our family as having a position in the LLC which i was given a 1% stake in the LLC and title of CFO, however this is in name only. I will not be involved in the business my father's goal is to get a licensing deal with this. This LLC has nothing to do with investments or insurance so it would not be considered a conflict of interest. The LLC has not been filed/formed yet so I put a future date for the start date INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2025 ADDRESS: 19363 w 85th bluff, Arvada CO 80007, United States DESCRIPTION: responsible for the finances of Margolis Family Enterprise
CRS (Client Relationship Summary) - RIA
Click below to view Michael Jordan Margolis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Jordan Margolis'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 26, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 333 W. Wacker Drive 28th Floor, Chicago, IL 60606RIA
BD
CRD#: 20472
Chicago, IL
Current
March 26, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 333 W. Wacker Drive 28th Floor, Chicago, IL 60606RIA
BD
CRD#: 20472
Chicago, IL
Past
September 5, 2023 - December 22, 2023
MORGAN STANLEY
RIA
CRD#: 149777
Chicago, IL
Past
January 10, 2023 - December 22, 2023
MORGAN STANLEY
BD
CRD#: 149777
Chicago, IL
Past
February 1, 2021 - September 5, 2023
HARRISDIRECT LLC
RIA
CRD#: 42159
Chicago, IL
Past
February 1, 2021 - September 5, 2023
E*TRADE SECURITIES LLC
BD
CRD#: 29106
Chicago, IL
Past
February 27, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Chicago, IL
Past
February 27, 2018 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
CHICAGO, IL
Past
February 27, 2018 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
CHICAGO, IL
Past
March 31, 2017 - January 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ROLLING MEADOWS, IL
Past
March 31, 2017 - January 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ROLLING MEADOWS, IL
Past
February 21, 2014 - March 16, 2017
TD AMERITRADE, INC.
RIA
CRD#: 7870
OAK BROOK, IL
Past
February 21, 2014 - March 16, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
OAK BROOK, IL
Past
February 21, 2014 - March 16, 2017
TD AMERITRADE, INC.
BD
CRD#: 7870
OAK BROOK, IL
Past
January 9, 2012 - February 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PALOS HEIGHTS, IL
Past
December 19, 2011 - February 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PALOS HEIGHTS, IL
Past
January 12, 2011 - October 28, 2011
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
EVERGREEN PARK, IL
Past
May 24, 2010 - January 5, 2011
NYLIFE SECURITIES LLC
BD
CRD#: 5167
DOWNERS GROVE, IL
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
California(11/4/2024)
RR
Illinois(3/26/2024)
IAR
Illinois(3/26/2024)
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.
