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John Lopez

Tiaa-Cref Individual & Institutional Services, LLC

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About John Lopez

John Lopez is a financial advisor at Tiaa-cref Individual & Institutional Services, LLC with over 15 years of experience in the industry. John is registered in 14 states and holds Series 6, 7, 63 and 66 licenses as well as the SIE. John has a broad range of experience with individual investors, high net worth individuals and corporations. John provides financial planning and portfolio management for individual investors as well as corporations and charitable organizations.

Firm Information

John Lopez 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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John Lopez’s Registration & Firm History

IL

12/13/2018 - Present

Tiaa-Cref Individual & Institutional Services, LLC (EVANSTON IL)

IL

06/21/2013 - 12/06/2018

J.P. MORGAN SECURITIES LLC (WHEELING IL)

IL

08/07/2006 - 06/30/2008

ALLSTATE FINANCIAL SERVICES, LLC (CHICAGO IL)

NH

03/15/2005 - 07/14/2006

LIBERTY LIFE SECURITIES LLC (DOVER NH)

IL

07/19/2004 - 10/05/2004

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

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Licenses & Designations

BOTH

Issued 09/29/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/03/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/08/2016

Series 7 - General Securities Representative Examination

BC

Issued 06/20/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Lopez.
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