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James Deats

Elected Manager at Tiaa-Cref Individual & Institutional Services

Investment adviser and broker registrationsSEC record checked 18 October 2026

21
Years in the industry
2
Years at the firm
2
Adviser firms
1
State registrations

IAPD record retrieved 18 October 2026SEC record

James Deats holds the title Elected Manager at Tiaa-Cref Individual & Institutional Services, LLC, a New York investment adviser managing $37.9B. James Deats has been registered through Tiaa-Cref Individual & Institutional Services since 24 November 2023, has 21 years in the industry across 2 firms and has passed 8 licensing exams.

Role at Tiaa-Cref Individual & Institutional Services

Title on Schedule A
Elected Manager
Control
James Deats is a control person of Tiaa-Cref Individual & Institutional Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
James Deats has held the filed role since January 2025.

The firm

Tiaa-Cref Individual & Institutional Services, LLC
New York, NY

Form ADV filed 6 July 2026

$37.9B AUM72,503 clients1,020 advisers26 offices

Career on record

James Deats has been registered through Tiaa-Cref Individual & Institutional Services since November 2023, and before that through Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firms and exams, newest first
  1. Advice And Planning ServicesCurrent
    – present · 3 years
    , · Adviser representative · Firm CRD 20472
  2. Tiaa-cref Individual & Institutional Services, LLCCurrent
    – present · 3 years
    Jacksonville, FL · Adviser representative and broker · Firm CRD 20472
  3. Passed Series 10 and Series 99TO · 2023
  4. Passed SIE · 2018
  5. Passed Series 4 · 2010
  6. Passed Series 27 · 2009
  7. Merrill Lynch, Pierce, Fenner & Smith Incorporated
    – · 18 years
    Jacksonville, FL · Adviser representative · Firm CRD 7691
  8. Passed Series 7, Series 24 and Series 66 · 2005

Registrations and exams

James Deats has a current investment-adviser registration in Florida and has passed 8 qualifying exams.

Florida27 November 2023
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6617 June 2005
Name
Uniform Combined State Law Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 419 October 2010
Name
Registered Options Principal Examination
Series 2715 January 2009
Name
Financial and Operations Principal Examination
Series 2414 April 2005
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 724 January 2005
Name
General Securities Representative Examination

Individual record

Full name
James J Deats
CRD
4895304
Firm
Tiaa-Cref Individual & Institutional Services, LLC
Registration status
Investment adviser and broker registrations

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does James Deats work?

James Deats has held the title Elected Manager at Tiaa-Cref Individual & Institutional Services, LLC since January 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 6 July 2026

Is James Deats a financial advisor?

Yes. James Deats has a current investment-adviser registration in Florida, through Tiaa-Cref Individual & Institutional Services since November 2023, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

How many years of experience does James Deats have?

James Deats has worked in the financial industry for 21 years as of 18 October 2026, counted from 28 February 2005, across 2 adviser firms.

Source: IAPD individual record, checked 18 October 2026

What exams has James Deats passed?

James Deats has passed 8 licensing exams: the Series 7, Series 24, Series 66, Series 27, Series 4, SIE, Series 10 and Series 99TO. The earliest, the Series 7, was passed in January 2005.

Source: IAPD individual record, checked 18 October 2026

Where did James Deats work before Tiaa-Cref Individual & Institutional Services?

Before Tiaa-Cref Individual & Institutional Services, James Deats was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, June 2005 to October 2023.

Source: IAPD individual record, checked 18 October 2026

Leadership at Tiaa-Cref Individual & Institutional Services

Sources

  1. IAPD individual record, CRD 4895304. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Tiaa-Cref Individual & Institutional Services, LLC, filed 6 July 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with James Deats or Tiaa-Cref Individual & Institutional Services, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.