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Roger William Judy

Tiaa-Cref Individual & Institutional Services, LLC

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About Roger William Judy

Roger William Judy is a financial advisor with over 29 years of experience in the financial industry. Roger is currently registered with Tiaa-Cref Individual & Institutional Services, LLC. Roger is also licensed to provide investment advice in 35 states and the District of Columbia. Roger is committed to providing personalized financial advice to help clients achieve their financial goals.

Firm Information

Roger Judy 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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Roger Judy’s Registration & Firm History

NC

01/14/2005 - Present

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

NY

01/20/1995 - 10/14/2004

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 04/19/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/25/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/14/1995

Series 31 - Futures Managed Funds Examination

BC

Issued 01/18/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Roger William Judy. Review regulatory record here.
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