BF
Benjamin C. Forte
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Rochester, NY 14620
Some features on this profile are disabled
CRD#: 7197231
BF
Professional summary
Benjamin Clayton Forte, who also goes by Ben Forte, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Rochester, New York.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Benjamin has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Forte
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.
(1) Name: Residential Rental Property Position: Owner Nature: Residential rental property for investment income. Communicating with tenants, maintaining property (landscaping, plumbing repairs, etc), and administrative tasks. Investment Related: Yes Hours: 15Securities Trading Hours: 0Start Date: 11/23/2020 Address: Home Address, East Rochester NY 14445, United States Description: Ownership and maintenance of a residential rental property. (2) TRINITY COMMUNION CHURCH POSITION: Trustee NATURE: As a religious organization (a church), Trinity Communion Church holds Sunday church services and faith based programs and events. The church has a number of trustees as required by law. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2023 ADDRESS: 759 Winona Blvd, Rochester NY 14617, United States DESCRIPTION: As trustee, I will be giving input to organizational decisions and reviewing the church budget (no financial control). (3) ESTATE PLANNING COUNCIL OF ROCHESTER POSITION: Board Member NATURE: This is a professional organization focused on: 1. Collaborative Networking: Engage with professionals from complementary industries, enabling you to broaden yourknowledge base, build strategic partnerships, and enhance your service offerings. 2. Professional Development: Accessongoing education and training through seminars, workshops, and conferences designed to keep you at the forefront ofestate planning trends and best practices. 3. Thought Leadership: Contribute to and benefit from thought leadership inestate planning, positioning yourself as a specialist in the field. There are no products offered, just educationalpresentations and networking events. INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2025 ADDRESS: Not Disclosed (No Address), Rochester NY 14614, United States DESCRIPTION: As a board member, I would be responsible for contributing to decisions such as taking in new members, overseeing communications to the public, and collaborating with other board members to find ways to provide education and value to members of the council.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Clayton Forte's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Clayton Forte'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 9, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 35 Celebration Drive, Rochester, NY 14620RIA
BD
CRD#: 20472
Rochester, NY
Current
June 9, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 35 Celebration Drive, Rochester, NY 14620RIA
BD
CRD#: 20472
Rochester, NY
Past
September 15, 2021 - May 30, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROCHESTER, NY
Past
February 19, 2020 - May 19, 2023
ESL INVESTMENT SERVICES, LLC
BD
CRD#: 139176
ROCHESTER, NY
Past
December 3, 2019 - May 30, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
ROCHESTER, NY
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
Arizona(6/9/2023)
RR
Florida(6/9/2023)
RR
New Jersey(6/9/2023)
RR
New York(6/9/2023)
IAR
New York(6/9/2023)
RR
Ohio(6/9/2023)
RR
Pennsylvania(6/9/2023)
RR
Tennessee(3/21/2024)
RR
Wisconsin(10/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/17/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 12/3/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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#: 20472Rochester, NY 14620TRUST BUT VERIFY
Monitor Benjamin Forte
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
