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Sherwin Arthur Pontejos

Tiaa-Cref Individual & Institutional Services, LLC

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About Sherwin Arthur Pontejos

Sherwin Pontejos is a financial professional with over 24 years of experience in the financial industry. Sherwin currently works for Tiaa-Cref Individual & Institutional Services, LLC, where they are registered as a Registered Representative. Prior to joining Tiaa-Cref Individual & Institutional Services, LLC, Sherwin was previously employed by CHASE INVESTMENT SERVICES CORP., BANC ONE SECURITIES CORPORATION, and VANGUARD MARKETING CORPORATION. Sherwin holds several licenses including Series 6, 7, 63, and 65. Sherwin specializes in providing financial planning and portfolio management for individuals.

Firm Information

Sherwin Pontejos 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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Sherwin Pontejos’s Registration & Firm History

CO

12/09/2011 - Present

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

TX

12/01/2003 - 01/10/2007

CHASE INVESTMENT SERVICES CORP. (ROUND ROCK TX)

IL

07/18/2002 - 11/21/2003

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

PA

07/14/1997 - 02/20/2002

VANGUARD MARKETING CORPORATION (MALVERN PA)

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Licenses & Designations

IA

Issued 12/08/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/22/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/29/2011

Series 7 - General Securities Representative Examination

BC

Issued 07/11/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sherwin Arthur Pontejos.
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