Derrick James Catherman

Employer firm

Tiaa-Cref Individual & Institutional Services, LLC CRD 20472

$37.9B regulatory AUM 35,647 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2015 → 05/2019
  Saint John'S University
  Collegeville, MN
• 05/2019 → 08/2019
  Murray Moving
  Tomball, TX
• 08/2016 → 03/2019
  Saint John'S University Athletic Department
  Collegeville, MN
• 07/2019 → 10/2019
  Axa Advisors, Llc
  New York, NY
• 08/2019 → 09/2019
  Austex Moving
  Austin, TX
• 11/2019 → 01/2024
  Purshe Kaplan Sterling Investments, Inc
  Albany, NY
• 09/2019 → 12/2022
  Thrivent Advisor Network, Llc
  Charlotte, NC
• 08/2021 → 11/2024
  49 Wealth Management, Llc
  Charlotte, NC
• 08/2024 → 11/2024
  Oakwood Capital Securities, Inc.
  Minneapolis, MN
• 01/2023 → 11/2024
  49 Financial
  Charlotte, NC
• 11/2024 → Present
  Tiaa
  Frisco, TX
• 11/2024 → Present
  Tiaa-Cref Individual & Institutional Services, Llc
  Frisco, TX

Previous Registrations

• 2023-02-06 → 2024-12-02
  49 Financial
  Charlotte, NC
  Austin, TX
• 2022-08-16 → 2022-12-31
  Thrivent Advisor Network, Llc
  Minneapolis, MN
  Charlotte, NC

Other Businesses

TOMBALL MEMORIAL ALUMNI FOOTBALL TOURNAMENT POSITION: Founder NATURE: This consists of working alongside the school (Tomball Memorial High School) and the school district (Tomball ISD) to secure rights for specific facilities for use for the tournament. The tournament consists of former alumni football players participating in a touch football tournament held at the school. The tournament typically consists of 100-200 student athletes and typically draws a crowd of parents and former students. I work alongside two other individuals that have no association with TIAA or the financial services industry. There is no monetary gain/entanglement with my participation in this but still want to report for transparency. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 12/30/2023 ADDRESS: Home Address, Gastonia NC 28056, United States DESCRIPTION: I head up any of the organization, marketing, communications and if necessary, funding for the tournament

Exams

• S66 Uniform Combined State Law Examination
  2022-07-29
• S63 Uniform Securities Agent State Law Examination
  2019-05-16

Other Names

• Dj Catherman
• Derrick James Catherman
• Derrick Catherman