Reuben M. Morgan

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CRD#: 861807

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Reuben Milford Morgan JR, who also goes by Chip Morgan, Reuben M Morgan Jr, Reuben Milford Morgan, was a registered financial advisor .

Reuben is a previously registered financial advisor and started their career in finance in 1979. Reuben had worked at 16 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chip Morgan | Reuben M Morgan Jr | Reuben Milford Morgan

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 16, 2008 - May 26, 2009

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

July 16, 2007 - November 20, 2007

SIGNATOR FINANCIAL SERVICES, INC.

RIA

CRD#: 19061

BOSTON, MA

Past

July 16, 2007 - November 20, 2007

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOSTON, MA

Past

June 6, 2006 - April 4, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CONCORD, NC

Past

June 1, 2006 - April 4, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CONCORD, NC

Past

April 21, 2005 - September 21, 2005

BOFA ADVISORS, LLC

RIA

CRD#: 107900

CHARLOTTE, NC

Past

September 8, 2004 - April 12, 2005

COLUMBIA MANAGEMENT ADVISORS, INC.

RIA

CRD#: 105842

BOSTON, MA

Past

June 21, 2004 - September 21, 2005

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

January 1, 2003 - June 23, 2004

BACAP DISTRIBUTORS, LLC

RIA

CRD#: 46088

CHARLOTTE, NC

Past

January 1, 2003 - June 21, 2004

BACAP DISTRIBUTORS, LLC

CRD#: 46088

CHARLOTTE, NC

Past

December 31, 2001 - January 1, 2003

STEPHENS

RIA

CRD#: 3496

CHARLOTTE, NC

Past

October 4, 1993 - January 1, 2003

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

May 11, 1992 - September 7, 1993

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

January 1, 1990 - March 30, 1992

OCC DISTRIBUTORS LLC

CRD#: 18541

NEW YORK, NY

Past

January 29, 1988 - December 19, 1989

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

November 21, 1986 - October 12, 1987

COLONIAL INVESTMENT SERVICES, INC.

CRD#: 167

Past

May 23, 1984 - December 15, 1986

TRANSAMERICA FUND DISTRIBUTORS, INC.

CRD#: 3554

Past

November 3, 1981 - March 15, 1984

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Past

May 4, 1981 - September 30, 1981

LEHMAN BROTHERS INC.

CRD#: 7506

Past

February 1, 1979 - June 1, 1981

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472 / SEC#: 801-63550, 8-44454

RIA

Registered Investment Advisory firm - SEC (9/24/2004 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/30/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/1/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/20/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/18/1996

General Securities Principal Examination

Current Firm

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472 / SEC#: 801-63550, 8-44454

RIA

Registered Investment Advisory firm - SEC (9/24/2004 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVICE & PLANNING SERVICES PORTFOLIO ADVISOR WRAP FEE PROGRAM - OCTOBER 20, 2025 (10/16/2025)

ADVICE & PLANNING SERVICES PRIVATE ASSET MANAGEMENT PROGRAM - AUGUST 26, 2025 (8/26/2025)

ADVICE & PLANNING SERVICES TIAA PERSONAL PORTFOLIO WRAP FEE PROGRAM - MARCH 28, 2025 (3/26/2025)

TC SERVICES ADVICE & PLANNING SERVICES DISCLOSURE BROCHURE - MARCH 28, 2025 (3/26/2025)

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	Cover Page	Report
12/13/2023	Cover Page	Report
03/21/2023	Cover Page	Report

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.

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Firm Stability Insights

Reuben M. Morgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGNATOR FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

BOFA ADVISORS, LLC

COLUMBIA MANAGEMENT ADVISORS, INC.

BOFA DISTRIBUTORS, INC.

BACAP DISTRIBUTORS, LLC

BACAP DISTRIBUTORS, LLC

STEPHENS

STEPHENS

FUNDS DISTRIBUTOR, LLC

OCC DISTRIBUTORS LLC

BNY MELLON SECURITIES CORPORATION

COLONIAL INVESTMENT SERVICES, INC.

TRANSAMERICA FUND DISTRIBUTORS, INC.

FORESTERS FINANCIAL SERVICES, INC.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/30/1995

Series 63

Date: 9/1/1981

Series 7

Date: 1/20/1979

Series 24

Date: 1/18/1996

Current Firm

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

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