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Scott Weinstein

Chief Compliance Officer - Broker Dealer at Tiaa-Cref Individual & Institutional Services

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Scott Weinstein is Chief Compliance Officer - Broker Dealer of Tiaa-Cref Individual & Institutional Services, LLC, a New York investment adviser managing $37.9B. Scott Weinstein has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 24, SIE and Series 14.

Role at Tiaa-Cref Individual & Institutional Services

Title on Schedule A
Chief Compliance Officer - Broker Dealer
Control
Scott Weinstein is a control person of Tiaa-Cref Individual & Institutional Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Scott Weinstein has held the filed role since September 2024.

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

Firms and exams, newest first
  1. Passed Series 14 · 2023
  2. Passed Series 24 and SIE · 2018
  3. Passed Series 7 · 2001

Registrations and exams

Broker registration; no current adviser registration. Scott Weinstein has passed 4 qualifying exams.

Examinations

Series 142 January 2023
Name
Compliance Officer Examination
Series 248 February 2018
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 721 March 2001
Name
General Securities Representative Examination

Individual record

Full name
Scott William Weinstein
CRD
4324014
Firm
Tiaa-Cref Individual & Institutional Services, LLC
Registration status
Broker registration; no current adviser registration

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 Scott Weinstein work?

Scott Weinstein has been Chief Compliance Officer - Broker Dealer of Tiaa-Cref Individual & Institutional Services, LLC since September 2024, and is a control person of the firm.

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

Does Scott Weinstein have a current investment-adviser registration?

Scott Weinstein has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Scott Weinstein passed?

Scott Weinstein has passed 4 licensing exams: the Series 7, Series 24, SIE and Series 14. The earliest, the Series 7, was passed in March 2001.

Source: IAPD individual record, checked 17 October 2026

Leadership at Tiaa-Cref Individual & Institutional Services

Sources

  1. IAPD individual record, CRD 4324014. 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 17 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 Scott Weinstein 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.