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Kathleen Gregory

Tiaa-Cref Individual & Institutional Services, LLC

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About Kathleen Gregory

Kathleen Gregory is a financial professional with over 15 years of experience in the financial services industry. Kathleen currently works at TIAA-CREF Individual & Institutional Services, LLC. Kathleen is a registered investment advisor and a registered representative with FINRA. Kathleen has a Series 7, Series 24, Series 63, and Series 66 licenses. She is also a licensed investment advisor representative in New Jersey. Kathleen is a dedicated financial professional committed to providing personalized financial advice to her clients.

Firm Information

Kathleen Gregory 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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Kathleen Gregory’s Registration & Firm History

NJ

03/07/2017 - Present

Tiaa-Cref Individual & Institutional Services, LLC (ROSELAND NJ)

NY

07/02/2010 - 10/07/2014

COMMERZ MARKETS LLC (NEW YORK NY)

NY

04/09/2004 - 11/27/2009

COMMERZBANK CAPITAL MARKETS CORP. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 02/28/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/10/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/14/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/08/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kathleen Gregory.
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