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Anthony Pailun Shiao

Tiaa-Cref Individual & Institutional Services, LLC

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About Anthony Pailun Shiao

Anthony Pailun Shiao is a registered investment advisor representative with TIAA-CREF Individual & Institutional Services, LLC. Anthony has been in the financial services industry since 1998 and is licensed to provide investment advice in multiple states. Anthony holds the Series 63, Series 65, Series 7 and Series 31 securities licenses. Anthony also holds the SIE exam. Anthony has previously worked for firms such as WM Financial Services, Inc., CUSO Financial Services, L.P. and UBS Financial Services Inc. Anthony is based in Pasadena, California and specializes in providing financial planning, portfolio management for individuals, and selection of other advisors.

Firm Information

Anthony Shiao 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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Anthony Shiao’s Registration & Firm History

CA

02/12/2007 - Present

Tiaa-Cref Individual & Institutional Services, LLC (PASADENA CA)

CA

01/23/2006 - 01/08/2007

WM FINANCIAL SERVICES, INC. (PASADENA CA)

CA

02/19/2004 - 09/19/2005

CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO CA)

NJ

04/09/2001 - 02/24/2004

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

06/25/1998 - 06/27/2001

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 07/07/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/01/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/13/1998

Series 31 - Futures Managed Funds Examination

BC

Issued 06/22/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Anthony Pailun Shiao.
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