RB
Rosaline R. Banks
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Millington, TN
Some features on this profile are disabled
CRD#: 5891366
RB
Professional summary
Rosaline Rogers Banks, who also goes by Rosaline R Banks, Rosaline Rogers Banks, Rosaline Lechelle Rogers, Rosaline Lechelle Rogers, Rosaline Lechelle Rogers-banks, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Millington, Tennessee.
Rosaline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Rosaline has worked at 6 firms and has passed the Series 66, Series 7TO, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rosaline R Banks | Rosaline Rogers Banks | Rosaline Lechelle Rogers | Rosaline Lechelle Rogers | Rosaline Lechelle Rogers-Banks
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.
(1) Name: R&B Covenant Real Estate, LLC Position: Managing Member Nature: Real estate renovations and sales of rehabbed homes. Investment Related: Yes Hours: 10 Securities Trading Hours: 0 Start Date: 02/17/2017 Address: Home Address, Millington TN 38053, United States Description: It is a real estate flipping/renovation family business consisting of my mom and dad, me and my husband, and my brother and his wife. We purchase homes below market value use a general contractor to do the necessary repairs to bring homes up to market standards and then sell the home. The business does not deal with market investments or participate in any mortgage investment (REIT) related business. It is strictly a flipping and/or rental income business. (2) BOSTON UNIVERSITY FINANCIAL PLANNING PROGRAM POSITION: Subject Matter Expert for the Retirement Planning Module of the CFP program. I have a BA degree in Economics and International Relations from BU. I also completed my formal CFP studies with the University. The director of the program reached out to ask me to help with course contact and some instructing. NATURE: Education for CFP candidates. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/05/2023 ADDRESS: 1010 Commonwealth Ave, Boston MA 02215, United States DESCRIPTION: Role: Subject Matter Expert (SME) for the Boston University Financial Planning Program,FP105 Retirement Planning and Employee Benefits courseDuties: Review FP105 course content and assessment questions for accuracy and alignment with annual tax law updates. Activities may also include live instruction of financial planning students, recording of videos summarizing course modules, and supporting our current student facilitator with student content-related questions.
CRS (Client Relationship Summary) - RIA
Click below to view Rosaline Rogers Banks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rosaline Rogers Banks'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 10, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
BD
CRD#: 20472
Millington, TN
Current
March 9, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 2545 Highland Avenue Suite 100, Birmingham, AL 35205RIA
BD
CRD#: 20472
Birmingham, AL
Past
August 4, 2017 - February 15, 2023
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
MILLINGTON, TN
Past
August 2, 2017 - February 15, 2023
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
April 24, 2015 - June 19, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLLIERVILLE, TN
Past
April 24, 2015 - June 19, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
COLLIERVILLE, TN
Past
December 17, 2013 - April 9, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MEMPHIS, TN
Past
December 13, 2013 - April 9, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MEMPHIS, TN
Past
September 6, 2012 - November 21, 2013
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
BRENTWOOD, TN
Past
September 6, 2012 - November 21, 2013
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
BRENTWOOD, TN
Past
April 15, 2011 - September 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GERMANTOWN, TN
Past
March 25, 2011 - September 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GERMANTOWN, TN
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
Arkansas(9/24/2025)
RR
Mississippi(3/9/2023)
RR
Tennessee(3/9/2023)
IAR
Tennessee(3/10/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
