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Type: Registered Representative

Justin Roundtree is a financial professional at Tiaa-Cref Advice and Planning Services, a broker-dealer with over 3,250 registered representatives nationwide. Justin has held an industry securities registration for 12 years and is subject to FINRA oversight.

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Answers and Guides

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Top Answers

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Top Guides

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*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Tiaa-Cref Individual & Institutional Services, LLC 1 year, 1 month Mar 2013 - Present
TIAA 1 year, 1 month Mar 2013 - Present
Aegis Cap Corp. 3 years, 3 months Dec 2009 - Mar 2013
Absolute Hardwood 5 years, 3 months Jan 2009 - Present
Jh Darbie & Co. 1 year, 2 months Oct 2008 - Dec 2009
First London 4 months Jun 2008 - Oct 2008
Barron Moore, Inc. 2 years, 3 months Mar 2006 - Jun 2008
Salomon Grey 6 years, 3 months Dec 1999 - Mar 2006
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 06/21/2002
Limited Representative-Equity Trader Exam Series 55 05/12/2001
General Securities Representative Examination Series 7 04/16/2001

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets