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Charles Eugene Smith

Tiaa-Cref Individual & Institutional Services, LLC

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About Charles Eugene Smith

Charles Smith is a financial advisor with TIAA-CREF Individual & Institutional Services, LLC in CHARLOTTE, NC. Charles has been in the industry since 2005 and is registered with FINRA and the states of North Carolina and South Carolina. Charles has a strong background in investments, and holds the Series 6, Series 63, SIE and Series 6TO licenses. Charles specializes in financial planning, portfolio management for individuals, and selection of other advisers.

Firm Information

Charles 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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Charles Smith’s Registration & Firm History

NC

04/15/2019 - Present

Tiaa-Cref Individual & Institutional Services, LLC (CHARLOTTE NC)

NC

06/23/2011 - 09/10/2013

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)

ND

08/03/2005 - 05/12/2011

ING AMERICA EQUITIES, INC. (MINOT ND)

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Licenses & Designations

BC

Issued 04/29/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/13/2019

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 04/01/2019

SIE - Securities Industry Essentials Examination

BC

Issued 08/01/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Charles Eugene Smith.
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