BC
Benjamin D. Crofford
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Frisco, TX 75034
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CRD#: 6275807
BC
Professional summary
Benjamin Daniel Crofford, who also goes by Ben Crofford, Benjamin Daniel Crofford, Benjamin D Crofford, Benjamin Crofford, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Frisco, Texas.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Benjamin has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Crofford | Benjamin Daniel Crofford | Benjamin D Crofford | Benjamin Crofford
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.
Name: Uber Technologies, INC Position: Driver Nature: Uber Tech is a ride sharing company. When working for Uber as a driver, you're a contractor. I haven't been driving for Uber in a while. But I'm technically still on their Uber App. I can go live or take rides at any time. Investment Related: No Hours: 0Securities Trading Hours: 0Start Date: 01/08/2014 Address: 1515 3rd Street, San Francisco CA 94158, United States Description: Drive Uber clients from Point A to B
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Daniel Crofford's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Daniel Crofford'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
November 16, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Current
November 16, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
May 18, 2023 - July 26, 2023
ERNST & YOUNG INVESTMENT ADVISERS LLP
RIA
CRD#: 110921
Dallas, TX
Past
December 1, 2022 - March 1, 2023
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
Plano, TX
Past
November 30, 2022 - March 1, 2023
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
Plano, TX
Past
September 10, 2021 - May 5, 2022
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Westlake, TX
Past
September 10, 2021 - May 5, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Westlake, TX
Past
May 20, 2021 - July 23, 2021
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
DALLAS, TX
Past
May 20, 2021 - July 23, 2021
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
February 25, 2020 - February 23, 2021
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Plano, TX
Past
February 25, 2020 - February 23, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Plano, TX
Past
June 4, 2018 - October 26, 2019
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Fort Worth, TX
Past
June 4, 2018 - October 26, 2019
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Fort Worth, TX
Past
July 23, 2015 - January 18, 2018
TD AMERITRADE, INC.
RIA
CRD#: 7870
FORT WORTH, TX
Past
July 23, 2015 - January 18, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Fort Worth, TX
Past
April 16, 2015 - January 18, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
FORT WORTH, TX
Past
January 14, 2015 - April 1, 2015
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
June 10, 2014 - October 10, 2014
TD AMERITRADE, INC.
BD
CRD#: 7870
FORT WORTH, TX
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(11/16/2023)
IAR
Alabama(11/4/2025)
RR
Alaska(11/16/2023)
RR
Arizona(11/16/2023)
RR
Arkansas(11/16/2023)
RR
California(11/16/2023)
RR
Colorado(11/16/2023)
RR
Connecticut(11/16/2023)
RR
Delaware(11/16/2023)
RR
District of Columbia(11/16/2023)
RR
Florida(11/16/2023)
RR
Georgia(11/16/2023)
RR
Hawaii(11/16/2023)
RR
Idaho(11/16/2023)
RR
Illinois(11/16/2023)
RR
Indiana(11/16/2023)
RR
Iowa(11/16/2023)
RR
Kansas(11/16/2023)
RR
Kentucky(11/16/2023)
RR
Louisiana(11/16/2023)
RR
Maine(11/16/2023)
RR
Maryland(11/16/2023)
RR
Massachusetts(11/16/2023)
RR
Michigan(11/16/2023)
RR
Minnesota(11/16/2023)
RR
Mississippi(11/16/2023)
RR
Missouri(11/16/2023)
RR
Montana(11/16/2023)
RR
Nebraska(11/16/2023)
RR
Nevada(11/16/2023)
RR
New Hampshire(11/16/2023)
RR
New Jersey(11/16/2023)
RR
New Mexico(11/16/2023)
RR
New York(11/16/2023)
RR
North Carolina(11/16/2023)
RR
North Dakota(11/16/2023)
RR
Ohio(11/16/2023)
RR
Oklahoma(11/16/2023)
RR
Oregon(11/16/2023)
RR
Pennsylvania(11/16/2023)
RR
Rhode Island(11/16/2023)
RR
South Carolina(11/16/2023)
RR
South Dakota(11/16/2023)
RR
Tennessee(11/16/2023)
RR
Texas(11/16/2023)
IAR
Texas(11/16/2023)
RR
Utah(11/16/2023)
RR
Vermont(11/16/2023)
IAR
Vermont(11/4/2025)
RR
Virginia(11/16/2023)
RR
Washington(11/16/2023)
RR
West Virginia(11/16/2023)
RR
Wisconsin(11/16/2023)
RR
Wyoming(11/16/2023)
Exams
State Security Law Exam
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.
Company Information
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472Frisco, TX 75034TRUST BUT VERIFY
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