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Alex Paul Smith

Tiaa-Cref Individual & Institutional Services, LLC

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About Alex Paul Smith

Alex Smith is a registered investment advisor representative in New York, working at Tiaa-Cref Individual & Institutional Services, LLC. Alex is a seasoned professional with a focus on financial planning, investment advice, and portfolio management. Alex has been in the industry since 1989 and is a member of the Financial Industry Regulatory Authority (FINRA) and registered in several states including New York and New Jersey. Alex specializes in investment advice for individuals, families and other businesses, and provides a range of services to meet the needs of clients.

Firm Information

Alex Smith is currently registered with Tiaa-Cref Individual & Institutional Services, LLC. TIAA-Cref Individual & Institutional Services, LLC is a Limited Liability Company formed in 2004 and headquartered in New York, NY. The firm provides financial planning and portfolio management services for individuals, corporations, charitable organizations, and high-net-worth individuals. They also offer selection of other advisers and participate in wrap fee programs. TIAA-Cref manages over $32 billion in assets for approximately 73,602 clients across the United States.
Tiaa-Cref Individual & Institutional Services, LLC

730 THIRD AVENUE

NEW YORK, NY 10017-3206

$32.68B

Assets Under Management

31,192

Total Clients

2,960

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Compensation from affiliates

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Alex Smith’s Registration & Firm History

NY

05/25/2021 - Present

Tiaa-Cref Individual & Institutional Services, LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 03/31/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/30/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/26/1997

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/21/2004

Series 7 - General Securities Representative Examination

BC

Issued 06/09/1989

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alex Paul Smith.
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