AS
Asahia N. Smith
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Frisco, TX 75034
Some features on this profile are disabled
CRD#: 6260068
AS
Professional summary
Asahia Normica Smith, who also goes by Asahia Smith, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Frisco, Texas.
Asahia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Asahia has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Asahia Smith
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.
ASAHIA SMITH POSITION: Notary Signing Agent NATURE: I operate as notaryfrom time to time.I no longer plan to use my notary stamp to notarize financial documents. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2023 ADDRESS: Home Address, The Colony TX 75056-1283, United States DESCRIPTION: Notary Services
CRS (Client Relationship Summary) - RIA
Click below to view Asahia Normica Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Asahia Normica Smith'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 10, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Current
June 6, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
January 26, 2022 - May 21, 2024
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
GREENVILLE, SC
Past
January 19, 2022 - May 21, 2024
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
May 17, 2019 - October 29, 2021
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CHARLOTTE, NC
Past
May 17, 2019 - October 29, 2021
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CHARLOTTE, NC
Past
April 13, 2018 - May 7, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
February 22, 2018 - May 7, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
June 11, 2015 - July 18, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
January 9, 2014 - March 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
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(6/10/2024)
IAR
Alabama(8/15/2025)
RR
Alaska(6/11/2024)
RR
Arizona(6/12/2024)
RR
Arkansas(6/11/2024)
RR
California(6/6/2024)
RR
Colorado(6/11/2024)
RR
Connecticut(6/7/2024)
RR
Delaware(6/18/2024)
RR
District of Columbia(6/25/2024)
RR
Florida(6/7/2024)
RR
Georgia(6/10/2024)
RR
Hawaii(6/10/2024)
RR
Idaho(6/7/2024)
RR
Illinois(7/8/2024)
RR
Indiana(6/10/2024)
RR
Iowa(6/7/2024)
RR
Kansas(6/6/2024)
RR
Kentucky(6/11/2024)
RR
Louisiana(6/14/2024)
RR
Maine(6/7/2024)
RR
Maryland(6/13/2024)
RR
Massachusetts(6/10/2024)
RR
Michigan(6/10/2024)
RR
Minnesota(6/10/2024)
RR
Mississippi(6/14/2024)
RR
Missouri(6/7/2024)
RR
Montana(6/11/2024)
RR
Nebraska(6/6/2024)
RR
Nevada(6/10/2024)
RR
New Hampshire(6/11/2024)
RR
New Jersey(6/7/2024)
RR
New Mexico(6/10/2024)
RR
New York(6/17/2024)
RR
North Carolina(6/12/2024)
RR
North Dakota(6/10/2024)
RR
Ohio(6/6/2024)
RR
Oklahoma(6/11/2024)
RR
Oregon(6/13/2024)
RR
Pennsylvania(6/7/2024)
RR
Rhode Island(6/10/2024)
RR
South Carolina(6/11/2024)
RR
South Dakota(6/18/2024)
RR
Tennessee(6/13/2024)
RR
Texas(6/10/2024)
IAR
Texas(6/10/2024)
RR
Utah(6/7/2024)
RR
Vermont(6/10/2024)
IAR
Vermont(8/25/2025)
RR
Virginia(6/10/2024)
RR
Washington(6/10/2024)
RR
West Virginia(6/17/2024)
RR
Wisconsin(6/18/2024)
RR
Wyoming(6/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/6/2023
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.
Company Information
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472Frisco, TX 75034TRUST BUT VERIFY
Monitor Asahia Smith
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
