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Thomas Graham Davis

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
HAMDEN, CT
·CRD# 5846152·16 years registered

Professional Summary

Thomas Graham Davis is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Hamden, Connecticut. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Thomas has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

16 years registered in the securities industry

Current & Past Employments

Current

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLCCurrent·CRD# 20472
RIA
BD
1. One Hamden Center 2319 Whitney Avenue, Suite 6a, Hamden, CT 065182. Madison, CT
October 29, 2014 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLCCurrent·CRD# 20472
RIA
BD
One Hamden Center 2319 Whitney Avenue, Suite 6a, Hamden, CT 06518
October 29, 2014 - Present

Past

LPL FINANCIAL LLCPast·CRD# 6413
RIA
New Haven, CT
August 23, 2011 - October 16, 2014
LPL FINANCIAL LLCPast·CRD# 6413
BD
New Haven, CT
August 23, 2011 - October 16, 2014
MORGAN STANLEYPast·CRD# 149777
RIA
Roseburg, OR
October 28, 2010 - June 28, 2011
MORGAN STANLEYPast·CRD# 149777
BD
Roseburg, OR
September 30, 2010 - June 28, 2011

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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)

Contact Information

Main Address

730 Third Avenue, New York, NY 10017-3206

Mailing Address

8500 Andrew Carnegie Boulevard, 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

1,293

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADVICE & PLANNING SERVICES PORTFOLIO ADVISOR WRAP FEE PROGRAM - MARCH 31, 2026 (4/21/2026)

Direct owners and executive officers

NamePositionCRD#
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICASOLE OWNER OF APPLICANT—
ABBOTT, ROSS HAMLETCHIEF OPERATING OFFICER, ELECTED MANAGER2756063
BARNHILL, HELEN GWYNCHIEF LEGAL OFFICER2574877
BELLUCCI, RAYMOND JOHNELECTED MANAGER1807977
D AMBROSI, JULIAN MAUROPRESIDENT, CEO, ELECTED MANAGER4729324
DEATS, JAMES JELECTED MANAGER4895304
HEASLIP, DEREK JAMESELECTED MANAGER6318596
INTIHAR, JEREMY ROSSCHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER5040823
LEWIS, BENJAMIN HERBERTELECTED MANAGER1687894
MUKHERJEE, NILADRIELECTED MANAGER5227234
OVHORI, ELOHO ISIMEMECHIEF FINANCIAL OFFICER8201407
SARAVANAN, SHANKARVICE PRESIDENT, ELECTED MANAGER7789140
STICKROD, CHRISTOPHER EUGENEELECTED MANAGER4627958
WEINSTEIN, SCOTT WILLIAMCHIEF COMPLIANCE OFFICER - BROKER DEALER4324014

Regulatory Assets Under Management

Total Number of Accounts

72,503

AUM (Assets Under Management)

$37,928,601,788

Disclosures

Regulatory Event

8

Arbitration

4

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/23/2026Cover PageReport
01/22/2026Cover PageReport
01/23/2025Cover PageReport
12/13/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

PREDICT SIX, INC. POSITION: President NATURE: Predict Six is a consumer mobile application. The app presents users with six daily yes/no questions about real-world outcomes across six categories: Markets & Economy, Politics & Policy, Sports, Culture & Entertainment, Science & Technology, and World & Geopolitics. Users submit predictions before a daily deadline, and outcomes resolve when the underlying events conclude based on publicly reported facts. The app tracks individual accuracy over time and allows users to compare predictions with friends in self-organized private groups. Uses can choose to access premium features through a paid subscription but the game is free to play. There is no real-money wagering, gambling, prediction market activity, or monetary betting of any kind. Users earn non-monetary points that have no cash value, cannot be redeemed for currency, and cannot be transferred outside the application. The application does not offer, recommend, or facilitate the purchase or sale of any securities, derivatives, or financial products. It does not provide investment advice, financial planning, or any service that overlaps with my responsibilities at TIAA. I do not solicit TIAA clients in connection with this activity, do not use TIAA resources (including email, computer equipment, phone systems, or office space) for this activity, and conduct all work on the application outside of regular TIAA business hours. I serve as President and co-founder, working part-time. My uncle, Phil Davis, serves as co-founder and Secretary. Ownership of the business is split 50/50 between us. The business operates as a Delaware C Corporation. I expect to receive no income or distributions from this business unless we sell it in the future. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2026 ADDRESS: 1512 46th Ave SW, Seattle WA 98116, United States DESCRIPTION: Executive decision making, application development using AI

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(3/22/2022)
RR
Connecticut
(10/29/2014)
IAR
Connecticut
(10/29/2014)
RR
District of Columbia
(7/31/2024)
RR
Florida
(9/5/2017)
RR
Illinois
(6/16/2025)
RR
Maine
(2/17/2026)
RR
Maryland
(4/2/2018)
RR
Massachusetts
(11/20/2018)
RR
Nevada
(6/15/2022)
RR
New Hampshire
(3/5/2018)
RR
New Mexico
(3/30/2022)
RR
New York
(10/29/2014)
RR
North Carolina
(11/2/2021)
RR
Ohio
(9/13/2023)
RR
Pennsylvania
(9/17/2025)
RR
Rhode Island
(1/13/2022)
RR
Vermont
(4/25/2022)
IAR
Vermont
(8/25/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2010About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2010About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Thomas Graham Davis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thomas Graham Davis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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