Niladri Mukherjee has held the title Elected Manager at Tiaa-Cref Individual & Institutional Services since June 2023, is not listed as a control person, but directly owns under 5% of the firm.
Tiaa-Cref Individual & Institutional Services, LLC is a New York, NY firm with $37.9B under management, 72,503 clients and 1,020 advisers across 144 offices, as of its July 2026 filing.
Niladri Mukherjee’s longest registration was 15 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2007–2023). Before joining Tiaa-Cref Individual & Institutional Services in 2023, Niladri Mukherjee was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Tiaa Wealth Investment Management LLCAlso current– present · under a yearAdviser representative · Firm CRD 334925
- – present · 3 yearsHoboken, NJ · Adviser representative and broker · Firm CRD 20472
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 15 yearsNew York, NY · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Niladri Mukherjee is registered as an investment adviser representative in 2 states. Each was approved in April 2026.
- New JerseySince 21 April 2026
- New YorkSince 21 April 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 28 June 2010 |
| Series 31 | Futures Managed Funds Examination | 4 June 2008 |
| Series 66 | Uniform Combined State Law Examination | 23 October 2007 |
| Series 7 | General Securities Representative Examination | 18 August 2007 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 5227234
- Firm
- Tiaa-Cref Individual & Institutional Services · CRD 20472
- Role
- Elected Manager
- Office
- Hoboken, NJ
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2007
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Niladri Mukherjee work?
Niladri Mukherjee has held the title Elected Manager at Tiaa-Cref Individual & Institutional Services, LLC since June 2023.
Is Niladri Mukherjee a financial advisor?
Yes. Niladri Mukherjee has a current investment-adviser registration in New Jersey and New York, through Tiaa-Cref Individual & Institutional Services since May 2023.
How many years of experience does Niladri Mukherjee have?
Niladri Mukherjee has 18 years in the financial industry, since November 2007, across 3 adviser firms.
What exams has Niladri Mukherjee passed?
Niladri Mukherjee has passed 4 licensing exams: the Series 7, Series 66, Series 31 and Series 24. The earliest, the Series 7, was passed in August 2007. FINRA credited Niladri Mukherjee with the SIE, which began in October 2018.
Where did Niladri Mukherjee work before Tiaa-Cref Individual & Institutional Services?
Before Tiaa-Cref Individual & Institutional Services, Niladri Mukherjee was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, December 2007 to March 2023.
Where is Niladri Mukherjee based?
Niladri Mukherjee’s registered office is in Hoboken, NJ.
Is Niladri Mukherjee registered with FINRA?
Yes. Niladri Mukherjee has a current broker registration, under CRD 5227234.
Source: FINRA BrokerCheck
How can I verify Niladri Mukherjee’s record?
Search CRD 5227234 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Niladri Mukherjee’s full registration record.
- Julian D AmbrosiPresident, CEO, Elected Manager
- Shankar SaravananVice President, Elected Manager
- Eloho OvhoriChief Financial Officer
- Ross AbbottChief Operating Officer, Elected Manager
- Jeremy IntiharChief Compliance Officer - Registered Investment Adviser
- Scott WeinsteinChief Compliance Officer - Broker Dealer
- Helen Gwyn BarnhillChief Legal Officer
- Raymond BellucciElected Manager
- James DeatsElected Manager
- Derek HeaslipElected Manager
- Benjamin LewisElected Manager
- Christopher StickrodElected Manager