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Patricia Ann Ellerby

Tiaa-Cref Individual & Institutional Services, LLC

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About Patricia Ann Ellerby

Patricia Ellerby is an investment advisor representative registered with TIAA-CREF Individual & Institutional Services, LLC. Patricia is a licensed professional who has been serving the financial industry since 1999. Patricia has been working with TIAA-CREF Individual & Institutional Services, LLC since 2023 and has previously held roles with LPL Financial LLC, Raymond James Financial Services, Inc., Cetera Investment Services LLC, Edward Jones, LPL Financial Corporation, Piper Jaffray & Co., Dean Witter Reynolds Inc. and Prudential Securities Incorporated. Patricia offers financial planning, selection of other advisors and portfolio management for individuals.

Firm Information

Patricia Ellerby 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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Patricia Ellerby’s Registration & Firm History

CO

10/20/2023 - Present

Tiaa-Cref Individual & Institutional Services, LLC (DENVER CO)

CO

07/21/2022 - 10/17/2023

LPL FINANCIAL LLC (DENVER CO)

CO

06/14/2017 - 08/02/2022

RAYMOND JAMES FINANCIAL SERVICES, INC. (DENVER CO)

CO

04/14/2016 - 06/13/2017

CETERA INVESTMENT SERVICES LLC (LITTLETON CO)

CO

01/10/2012 - 11/05/2015

EDWARD JONES (DENVER CO)

CO

05/24/2006 - 03/29/2010

LPL FINANCIAL CORPORATION (BOULDER CO)

MN

02/21/2001 - 06/14/2004

PIPER JAFFRAY & CO. (MINNEAPOLIS MN)

NY

04/06/1999 - 02/22/2001

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

NY

05/15/1993 - 01/03/1994

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

06/22/1988 - 09/16/1991

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 01/10/2008

Series 66 - Uniform Combined State Law Examination

IA

Issued 05/21/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/08/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/28/1999

Series 31 - Futures Managed Funds Examination

BC

Issued 04/05/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Patricia Ann Ellerby.
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