Richard Lee Ware

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
AL	RA	APPROVED	2026-01-23
VT	RA	APPROVED	2026-01-23
TX	RA	APPROVED	2025-11-03
VA	RA	APPROVED	2025-07-10

AL RA
APPROVED

Since 2026-01-23
VT RA
APPROVED

Since 2026-01-23
TX RA
APPROVED

Since 2025-11-03
VA RA
APPROVED

Since 2025-07-10

Branch Locations

Richmond, VA • United States

6802 Paragon Place Suite 410,Rooms 437, 438, 439, 440, Richmond, VA 23230 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Chesapeake Financial Group, Inc.	Williamsburg	VA	03/2014	03/2018
Tiaa	Richmond	VA	08/2018	Present
Tiaa-Cref Individual & Institutional Services, Llc	Richmond	VA	06/2025	Present
Chesapeake Wealth Management	Williamsburg	VA	03/2014	05/2018

03/2014 → 03/2018

Chesapeake Financial Group, Inc.

Williamsburg, VA
08/2018 → Present

Tiaa

Richmond, VA
06/2025 → Present

Tiaa-Cref Individual & Institutional Services, Llc

Richmond, VA
03/2014 → 05/2018

Chesapeake Wealth Management

Williamsburg, VA

Previous Registrations

2014-03-12 → 2018-03-28

Chesapeake Wealth Management

Williamsburg, VA

Other Businesses

Name: The Health Brigade Position: Board Member Nature: free health clinic Investment Related: No Hours: 2 Securities Trading Hours: 0 Start Date: 09/01/2016 Address: 1010 N. Thompson St, Richmond VA 23229, United States Description: Advising the clinic

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-08-24

S66 Uniform Combined State Law Examination

1999-08-24

Designations

Chartered Financial Analyst

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