Carter Thomas O'neil

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Contact Information

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Disclosures on record.

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.

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Years of Experience

3 years registered in the securities industry

Current & Past Employments

Current

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLCCurrent·CRD# 20472

RIA

BD

1. 333 W. Wacker Drive 28th & 30th Floors, Chicago, IL 606062. Chicago, IL

October 9, 2026 - Present

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLCCurrent·CRD# 20472

RIA

BD

333 W. Wacker Drive 28th & 30th Floors, Chicago, IL 60606

October 9, 2026 - Present

Past

VANGUARD ADVISERS, INC.Past·CRD# 106715

RIA

Malvern, PA

August 21, 2023 - August 24, 2026

VANGUARD MARKETING CORPORATIONPast·CRD# 7452

BD

Malvern, PA

July 24, 2023 - August 24, 2026

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Current Firm

TI

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

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)

Contact Information

Main Address

730 Third Avenue, New York, NY 10017-3206

Mailing Address

8500 Andrew Carnegie Boulevard, 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

1,293

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADVICE & PLANNING SERVICES PORTFOLIO ADVISOR WRAP FEE PROGRAM - NOVEMBER 10, 2026 (11/9/2026)

ADVICE & PLANNING SERVICES TIAA PERSONAL PORTFOLIO WRAP FEE PROGRAM - MARCH 31, 2026 (4/21/2026)

ADVICE & PLANNING SERVICES PRIVATE ASSET MANAGEMENT PROGRAM - MARCH 31, 2026 (3/27/2026)

TC SERVICES ADVICE & PLANNING SERVICES DISCLOSURE BROCHURE - MARCH 31, 2026 (3/27/2026)

Direct owners and executive officers

Name	Position	CRD#
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA	SOLE OWNER OF APPLICANT	—
ABBOTT, ROSS HAMLET	CHIEF OPERATING OFFICER, ELECTED MANAGER	2756063
BARNHILL, HELEN GWYN	CHIEF LEGAL OFFICER	2574877
BELLUCCI, RAYMOND JOHN	ELECTED MANAGER	1807977
D AMBROSI, JULIAN MAURO	PRESIDENT, CEO, ELECTED MANAGER	4729324
DEATS, JAMES J	ELECTED MANAGER	4895304
HEASLIP, DEREK JAMES	ELECTED MANAGER	6318596
INTIHAR, JEREMY ROSS	CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER	5040823
LEWIS, BENJAMIN HERBERT	ELECTED MANAGER	1687894
MUKHERJEE, NILADRI	ELECTED MANAGER	5227234
OVHORI, ELOHO ISIMEME	CHIEF FINANCIAL OFFICER	8201407
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

72,503

AUM (Assets Under Management)

$37,928,601,788

Disclosures

Regulatory Event

8

Arbitration

4

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/23/2026	Cover Page	Report
01/22/2026	Cover Page	Report
01/23/2025	Cover Page	Report
12/13/2023	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355

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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

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(10/9/2026)

IAR

Alabama
(10/13/2026)

RR

Alaska
(10/9/2026)

RR

Arizona
(10/9/2026)

RR

Arkansas
(10/9/2026)

RR

California
(10/9/2026)

RR

Colorado
(10/9/2026)

RR

Connecticut
(10/9/2026)

RR

Delaware
(10/9/2026)

RR

District of Columbia
(10/9/2026)

RR

Florida
(10/9/2026)

RR

Georgia
(10/9/2026)

RR

Hawaii
(10/9/2026)

RR

Idaho
(10/9/2026)

RR

Illinois
(10/9/2026)

IAR

Illinois
(10/13/2026)

RR

Indiana
(10/9/2026)

RR

Iowa
(10/9/2026)

RR

Kansas
(10/9/2026)

RR

Kentucky
(10/9/2026)

RR

Louisiana
(10/9/2026)

RR

Maine
(10/9/2026)

RR

Maryland
(10/9/2026)

RR

Massachusetts
(10/9/2026)

RR

Michigan
(10/9/2026)

RR

Minnesota
(10/9/2026)

RR

Mississippi
(10/9/2026)

RR

Missouri
(10/9/2026)

RR

Montana
(10/9/2026)

RR

Nebraska
(10/9/2026)

RR

Nevada
(10/9/2026)

RR

New Hampshire
(10/9/2026)

RR

New Jersey
(10/9/2026)

RR

New Mexico
(10/9/2026)

RR

New York
(10/9/2026)

RR

North Carolina
(10/9/2026)

RR

North Dakota
(10/9/2026)

RR

Ohio
(10/9/2026)

RR

Oklahoma
(10/9/2026)

RR

Oregon
(10/9/2026)

RR

Pennsylvania
(10/9/2026)

RR

Rhode Island
(10/9/2026)

RR

South Carolina
(10/9/2026)

RR

South Dakota
(10/9/2026)

RR

Tennessee
(10/9/2026)

RR

Texas
(10/9/2026)

IAR

Texas
(10/9/2026)

RR

Utah
(10/9/2026)

RR

Vermont
(10/9/2026)

IAR

Vermont
(10/15/2026)

RR

Virginia
(10/9/2026)

RR

Washington
(10/9/2026)

RR

West Virginia
(10/9/2026)

RR

Wisconsin
(10/9/2026)

RR

Wyoming
(10/9/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.