Sheryl J. Curtis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sheryl Jaffe Curtis, who also goes by Sheryl J Curtis, Sheryl Curtis, Sheryl Lynn Jaffe, was a registered financial professional .
Sheryl is a previously registered financial professional and started their career in finance in 2010. Sheryl had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2023 - May 12, 2026
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 12, 2023 - May 12, 2026
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 4, 2022 - August 9, 2023
PNC WEALTH MANAGEMENT LLC
January 4, 2022 - August 9, 2023
PNC WEALTH MANAGEMENT LLC
September 23, 2019 - October 25, 2021
CETERA INVESTMENT ADVISERS LLC
September 20, 2019 - October 25, 2021
CETERA INVESTMENT SERVICES LLC
December 16, 2015 - September 20, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 2015 - September 20, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 2014 - August 5, 2015
TRUIST INVESTMENT SERVICES, INC.
July 31, 2014 - August 5, 2015
TRUIST INVESTMENT SERVICES, INC.
June 5, 2013 - June 6, 2014
ESSEX NATIONAL SECURITIES, LLC
June 5, 2013 - June 6, 2014
ESSEX NATIONAL SECURITIES, LLC
September 19, 2012 - May 24, 2013
SANTANDER SECURITIES LLC
September 19, 2012 - May 24, 2013
SANTANDER SECURITIES LLC
April 20, 2012 - September 19, 2012
LPL FINANCIAL LLC
April 20, 2012 - September 19, 2012
LPL FINANCIAL LLC
October 6, 2010 - April 12, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 2010 - April 12, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472 / SEC#: 801-63550, 8-44454
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472 / SEC#: 801-63550, 8-44454
Contact information
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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
