KD
Karen A. Donofrio
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Bedminster, NJ
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CRD#: 6402159
KD
Professional summary
Karen Ann Donofrio, who also goes by Karen Ann Collins, Karen Ann Donofrio, Karen Donofrio, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Bedminster, New Jersey.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Karen has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 9 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karen Ann Collins | Karen Ann Donofrio | Karen Donofrio
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.
(A)
1. Kathleen Johnson
2. Investment Related: No
3. (Personal Address)
4. Nature of business:
5. Executtrix and Executrix for Kathleen Johnson, Aunt/Godmother
6. 1/01/2005
7. Hours devoted to business: 0 hrs/mo
8. Hours devoted during Securities business: 0 trading hrs/mo
9. Duties: Become executor of will upon her passing or becoming incapable of managing finances
(B)
1. Ralph F. Donofrio
2. Investment Related: No
3. (Personal Address)
4. Power of Attorney & Executrix and Power of Attorney and Executrix - Ralph Donofrio, Father
5. Executrix
6. 01/01/2006
7. Hours devoted to business: 0 hrs/mo
8. Hours devoted during Securities business: 0 trading hrs/mo
9. Duties: Become executor of will upon his passing or becoming incapable of managing finances
CRS (Client Relationship Summary) - RIA
Click below to view Karen Ann Donofrio's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karen Ann Donofrio'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
August 15, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 155 Village Boulevard Suite A, Princeton, NJ 08540RIA
BD
CRD#: 20472
Bedminster, NJ
Current
August 15, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 155 Village Boulevard Suite A, Princeton, NJ 08540RIA
BD
CRD#: 20472
Princeton, NJ
Past
March 21, 2023 - August 1, 2023
MORGAN STANLEY
BD
CRD#: 149777
Morristown, NJ
Past
September 26, 2019 - August 1, 2023
HARRISDIRECT LLC
RIA
CRD#: 42159
MORRISTOWN, NJ
Past
September 25, 2019 - August 1, 2023
E*TRADE SECURITIES LLC
BD
CRD#: 29106
MORRISTOWN, NJ
Past
April 28, 2016 - September 19, 2019
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
EAST HANOVER, NJ
Past
April 12, 2016 - September 19, 2019
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
EAST HANOVER, NJ
Past
May 11, 2015 - April 18, 2016
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
PARAMUS, NJ
Past
December 18, 2014 - April 18, 2016
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
PARAMUS, NJ
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
California(7/9/2024)
RR
Connecticut(7/28/2025)
RR
District of Columbia(11/20/2023)
RR
Florida(2/26/2025)
RR
Maryland(10/17/2025)
RR
New Jersey(8/15/2023)
IAR
New Jersey(8/15/2023)
RR
New York(2/6/2024)
RR
North Carolina(10/17/2025)
RR
Pennsylvania(1/11/2024)
RR
South Carolina(1/30/2024)
RR
Texas(3/25/2025)
IAR
Texas(8/21/2025)
RR
Vermont(7/29/2024)
IAR
Vermont(8/25/2025)
RR
Virginia(10/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
