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James Allan Palen

Tiaa-Cref Individual & Institutional Services, LLC

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About James Allan Palen

James Allan Palen is a financial professional with over 10 years of experience in the financial services industry. James is currently registered with Tiaa-Cref Individual & Institutional Services, LLC and has Series 7, Series 6, Series 63, and Series 65 licenses. Prior to joining Tiaa-Cref Individual & Institutional Services, LLC, James worked at Fidelity Brokerage Services LLC and Signator Investors, Inc. James specializes in providing financial advice to individuals and families.

Firm Information

James Palen 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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James Palen’s Registration & Firm History

CA

09/03/2021 - Present

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

NH

03/20/2015 - 01/05/2016

FIDELITY BROKERAGE SERVICES LLC (MERRIMACK NH)

MA

03/22/2013 - 02/03/2015

SIGNATOR INVESTORS, INC. (ANDOVER MA)

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Licenses & Designations

BC

Issued 06/22/2021

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 07/26/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/03/2021

Series 7TO - General Securities Representative Examination

BC

Issued 07/23/2021

SIE - Securities Industry Essentials Examination

BC

Issued 09/18/2014

Series 7 - General Securities Representative Examination

BC

Issued 03/21/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Allan Palen.
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