JS
James I. Scroggs
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Belford, NJ
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CRD#: 5980973
JS
Professional summary
James Ian Scroggs, who also goes by Ian Scroggs, James Ian Scroggs, James Scroggs, James I Scroggs, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Belford, New Jersey.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. James has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ian Scroggs | James Ian Scroggs | James Scroggs | James I Scroggs
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 James Ian Scroggs's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Ian Scroggs'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
June 28, 2021 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 194 S Wood Ave, Iselin, NJ 08830RIA
BD
CRD#: 20472
Belford, NJ
Current
June 25, 2021 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 194 S Wood Ave, Iselin, NJ 08830RIA
BD
CRD#: 20472
Iselin, NJ
Past
March 23, 2020 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Shrewsbury, NJ
Past
March 20, 2020 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
SHREWSBURY, NJ
Past
March 20, 2020 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
SHREWSBURY, NJ
Past
August 7, 2017 - February 17, 2020
EDWARD JONES
RIA
CRD#: 250
SHREWSBURY, NJ
Past
August 7, 2017 - February 17, 2020
EDWARD JONES
BD
CRD#: 250
SHREWSBURY, NJ
Past
May 26, 2016 - June 15, 2017
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Washington, DC
Past
April 25, 2016 - June 15, 2017
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Washington, DC
Past
June 25, 2013 - March 22, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
WASHINGTON, DC
Past
June 12, 2013 - March 22, 2016
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
WASHINGTON, DC
Past
August 14, 2012 - October 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WASHINGTON, DC
Past
May 17, 2012 - October 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WASHINGTON, DC
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
Alabama(6/25/2021)
IAR
Alabama(8/15/2025)
RR
Alaska(6/25/2021)
RR
Arizona(6/25/2021)
RR
Arkansas(6/25/2021)
RR
California(6/25/2021)
RR
Colorado(6/25/2021)
RR
Connecticut(6/25/2021)
RR
Delaware(6/25/2021)
RR
District of Columbia(6/25/2021)
RR
Florida(6/25/2021)
RR
Georgia(6/25/2021)
RR
Hawaii(6/25/2021)
RR
Idaho(6/25/2021)
RR
Illinois(6/25/2021)
RR
Indiana(6/25/2021)
RR
Iowa(6/25/2021)
RR
Kansas(6/25/2021)
RR
Kentucky(6/25/2021)
RR
Louisiana(6/25/2021)
RR
Maine(6/25/2021)
RR
Maryland(6/25/2021)
RR
Massachusetts(6/25/2021)
RR
Michigan(6/25/2021)
RR
Minnesota(6/25/2021)
RR
Mississippi(6/25/2021)
RR
Missouri(6/25/2021)
RR
Montana(6/25/2021)
RR
Nebraska(6/25/2021)
RR
Nevada(6/25/2021)
RR
New Hampshire(6/25/2021)
RR
New Jersey(6/25/2021)
IAR
New Jersey(6/28/2021)
RR
New Mexico(6/25/2021)
RR
New York(6/25/2021)
RR
North Carolina(6/25/2021)
RR
North Dakota(6/25/2021)
RR
Ohio(6/28/2021)
RR
Oklahoma(6/25/2021)
RR
Oregon(6/25/2021)
RR
Pennsylvania(6/25/2021)
RR
Rhode Island(6/25/2021)
RR
South Carolina(6/25/2021)
RR
South Dakota(6/25/2021)
RR
Tennessee(6/25/2021)
RR
Texas(6/25/2021)
IAR
Texas(8/15/2025)
RR
Utah(6/25/2021)
RR
Vermont(6/25/2021)
IAR
Vermont(8/25/2025)
RR
Virginia(6/25/2021)
RR
Washington(6/25/2021)
RR
West Virginia(6/25/2021)
RR
Wisconsin(6/25/2021)
RR
Wyoming(6/25/2021)
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.
