Peter Thomas Berkery

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:

Current Employers

Tiaa-Cref Individual & Institutional Services, Llc

730 Third Avenue, New York, NY 10017-3206 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-08-09

NY RA
APPROVED

Since 2022-08-09

Branch Locations

Centerport, NY • United States

730 Third Avenue Nyc Regional, New York, NY 10017 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Scottrade, Inc.	Massapequa Park	NY	09/2012	03/2018
Scottrade Investment Management	Massapequa Park	NY	03/2017	03/2018
Tiaa	Centerport	NY	05/2018	Present
Tiaa-Cref Individual & Institutional Services, Llc	Centerport	NY	05/2018	Present

09/2012 → 03/2018

Scottrade, Inc.

Massapequa Park, NY
03/2017 → 03/2018

Scottrade Investment Management

Massapequa Park, NY
05/2018 → Present

Tiaa

Centerport, NY
05/2018 → Present

Tiaa-Cref Individual & Institutional Services, Llc

Centerport, NY

Previous Registrations

2017-05-10 → 2018-03-07

Scottrade Investment Management

Saint Louis, MO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-05-08
S65	Uniform Investment Adviser Law Examination	1996-04-24
S63	Uniform Securities Agent State Law Examination	1995-10-19

S66 Uniform Combined State Law Examination

2017-05-08
S65 Uniform Investment Adviser Law Examination

1996-04-24
S63 Uniform Securities Agent State Law Examination

1995-10-19

View on SEC IAPD