CG
Charles M. Guittari
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Philadelphia, PA 19103
Some features on this profile are disabled
CRD#: 6777837
CG
Professional summary
Charles Mitchel Guittari, who also goes by Charles M Guittari, Charlie Guittari, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Philadelphia, Pennsylvania.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Charles has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles M Guittari | Charlie Guittari
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 Charles Mitchel Guittari's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Mitchel Guittari'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
April 14, 2026 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 1700 Market Street 32nd Floor/suite 3222, Philadelphia, PA 19103RIA
BD
CRD#: 20472
Philadelphia, PA
Current
April 13, 2026 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 1700 Market Street 32nd Floor/suite 3222, Philadelphia, PA 19103RIA
BD
CRD#: 20472
Philadelphia, PA
Past
June 9, 2025 - March 27, 2026
LPL FINANCIAL LLC
RIA
CRD#: 6413
FREMONT, CA
Past
June 9, 2025 - March 27, 2026
LPL FINANCIAL LLC
BD
CRD#: 6413
FREMONT, CA
Past
July 18, 2023 - June 10, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN FRANCISCO, CA
Past
July 18, 2023 - June 10, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN FRANCISCO, CA
Past
June 15, 2021 - June 22, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
San Francisco, CA
Past
June 15, 2021 - June 22, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
San Francisco, CA
Past
July 23, 2019 - June 10, 2021
HARRISDIRECT LLC
RIA
CRD#: 42159
Cupertino, CA
Past
July 23, 2019 - June 10, 2021
E*TRADE SECURITIES LLC
BD
CRD#: 29106
CUPERTINO, CA
Past
February 27, 2018 - July 22, 2019
TD AMERITRADE, INC.
RIA
CRD#: 7870
FREMONT, CA
Past
February 26, 2018 - July 22, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
FREMONT, CA
Past
February 26, 2018 - July 22, 2019
TD AMERITRADE, INC.
BD
CRD#: 7870
FREMONT, CA
Past
August 3, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
June 29, 2017 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
SAN MATEO, CA
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
Delaware(4/13/2026)
RR
Florida(4/13/2026)
RR
Maryland(4/13/2026)
RR
New Jersey(4/13/2026)
RR
Pennsylvania(4/13/2026)
IAR
Pennsylvania(4/14/2026)
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
