Charles W. Quinnell
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.
Charles Wallace Quinnell was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1979. Charles had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2005 - October 28, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 5, 2005 - October 28, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 9, 2004 - November 18, 2004
AMERIPRISE ADVISOR SERVICES, INC.
February 9, 2004 - November 18, 2004
AMERIPRISE ADVISOR SERVICES, INC.
October 8, 2003 - February 19, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
October 3, 2003 - January 9, 2004
IDS LIFE INSURANCE COMPANY
October 3, 2003 - February 19, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
May 10, 2002 - October 15, 2002
WORLD GROUP SECURITIES, INC.
February 12, 1992 - December 17, 2001
CHARLES SCHWAB & CO., INC.
May 9, 1990 - February 3, 1992
PIM FINANCIAL SERVICES, INC.
December 8, 1987 - May 29, 1990
CONSOLIDATED INVESTMENT SERVICES, INC.
July 28, 1987 - December 21, 1987
OSAIC FS, INC.
November 20, 1985 - May 29, 1990
CONSOLIDATED INVESTMENT SERVICES, INC.
December 20, 1982 - November 18, 1985
AMERICAN FRONTEER FINANCIAL CORPORATION
June 10, 1982 - December 21, 1982
MORGAN STANLEY DW INC.
August 6, 1979 - June 9, 1982
OTC NET INCORPORATED
June 1, 1979 - November 3, 1979
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472 / SEC#: 801-63550, 8-44454
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 4/22/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472 / SEC#: 801-63550, 8-44454
Contact information
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.
