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Simon Lockwood Walsh

Tiaa-Cref Individual & Institutional Services, LLC

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About Simon Lockwood Walsh

Simon Lockwood Walsh is an investment professional with a broad range of experience. Simon has worked in the financial industry since 2009. Simon is currently registered with Tiaa-Cref Individual & Institutional Services, LLC, a firm that offers a wide range of financial services. Simon has a deep understanding of the investment industry, having worked at several prominent financial institutions including NYLIFE Distributors LLC and UBS Financial Services Inc. Simon is a highly qualified professional with various certifications, including Series 7, Series 24, and Series 99TO licenses, demonstrating a strong commitment to professional development.

Firm Information

Simon Walsh 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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Simon Walsh’s Registration & Firm History

NY

10/20/2023 - Present

Tiaa-Cref Individual & Institutional Services, LLC (NEW YORK NY)

NY

03/18/2015 - 10/02/2023

NYLIFE DISTRIBUTORS LLC (NEW YORK NY)

NJ

06/10/2009 - 04/08/2010

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 06/28/2017

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/18/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Simon Lockwood Walsh.
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