SC
Sheryl J. Curtis
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Albuquerque, NM
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CRD#: 5824832
SC
Professional summary
Sheryl Jaffe Curtis, who also goes by Sheryl J Curtis, Sheryl Curtis, Sheryl Lynn Jaffe, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Albuquerque, New Mexico.
Sheryl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Sheryl has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sheryl J Curtis | Sheryl Curtis | Sheryl Lynn Jaffe
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 Sheryl Jaffe Curtis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sheryl Jaffe Curtis'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
September 12, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 100 Sun Avenue Ne 6th Floor, Albuquerque, NM 87109RIA
BD
CRD#: 20472
Albuquerque, NM
Current
September 12, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 100 Sun Avenue Ne 6th Floor, Albuquerque, NM 87109RIA
BD
CRD#: 20472
Albuquerque, NM
Past
January 4, 2022 - August 9, 2023
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
Rio Rancho, NM
Past
January 4, 2022 - August 9, 2023
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
Rio Rancho, NM
Past
September 23, 2019 - October 25, 2021
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ALBUQUERQUE, NM
Past
September 20, 2019 - October 25, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ALBUQUERQUE, NM
Past
December 16, 2015 - September 20, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ALBUQUERQUE, NM
Past
November 6, 2015 - September 20, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ALBUQUERQUE, NM
Past
July 31, 2014 - August 5, 2015
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
MEMPHIS, TN
Past
July 31, 2014 - August 5, 2015
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
MEMPHIS, TN
Past
June 5, 2013 - June 6, 2014
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
LAKEWOOD, NJ
Past
June 5, 2013 - June 6, 2014
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
LAKEWOOD, NJ
Past
September 19, 2012 - May 24, 2013
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
WESTMONT, NJ
Past
September 19, 2012 - May 24, 2013
SANTANDER SECURITIES LLC
BD
CRD#: 41791
WESTMONT, NJ
Past
April 20, 2012 - September 19, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHERRY HILL, NJ
Past
April 20, 2012 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
CHERRY HILL, NJ
Past
October 6, 2010 - April 12, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MT. LAUREL, NJ
Past
September 9, 2010 - April 12, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MT. LAUREL, NJ
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
Arizona(9/22/2023)
RR
Colorado(9/12/2023)
RR
New Jersey(12/4/2024)
RR
New Mexico(9/12/2023)
IAR
New Mexico(9/12/2023)
RR
Texas(1/24/2025)
IAR
Texas(8/19/2025)
RR
Utah(9/12/2023)
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.
