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Current Employers
Tiaa-Cref Individual & Institutional Services, Llc

730 Third Avenue, New York, NY 10017-3206 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-09-10
  • IA RA
    APPROVED
    Since 2024-09-10

Branch Locations

2713 Stange Road, Suite 105, Ames, IA 50010 • United States

Polk City, IA • 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
OrganizationCityStateFromTo
Voya Financial Advisors Des Moines IA 09/2014 06/2021
Cetera Investment Services Llc St Cloud MN 06/2021 07/2022
Cetera Advisors Llc St Cloud MN 06/2021 07/2022
Cetera Financial Specialists Llc Schaumburg IL 06/2021 07/2022
First Allied Securities Inc San Diego CA 06/2021 07/2022
Cetera Advisor Networks Llc El Segundo CA 06/2021 03/2023
Powell Financial Partners Georgetown TX 07/2022 04/2023
Athene Securities, Llc West Des Moines IA 06/2023 08/2024
Tiaa Ames IA 08/2024 Present
Tiaa-Cref Individual & Institutional Services, Llc Ames IA 08/2024 Present
Unemployed Polk City IA 04/2023 05/2023
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Des Moines, IA
  • 06/2021 → 07/2022
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2021 → 07/2022
    Cetera Advisors Llc
    St Cloud, MN
  • 06/2021 → 07/2022
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 06/2021 → 07/2022
    First Allied Securities Inc
    San Diego, CA
  • 06/2021 → 03/2023
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 07/2022 → 04/2023
    Powell Financial Partners
    Georgetown, TX
  • 06/2023 → 08/2024
    Athene Securities, Llc
    West Des Moines, IA
  • 08/2024 → Present
    Tiaa
    Ames, IA
  • 08/2024 → Present
    Ames, IA
  • 04/2023 → 05/2023
    Unemployed
    Polk City, IA
Previous Registrations
  • 2021-06-09 → 2023-04-18
    Cetera Wealth Services, Llc
    West Des Moines, IA
    El Segundo, CA
    Polk City, IA
    Georgetown, TX
  • 2011-02-14 → 2021-06-09
    Windsor, CT
    Windsor, CT
    Collegeville, PA
  • 2009-09-02 → 2010-09-01
    Directed Services Llc
    Des Moines, IA
    Des Moines, IA
    West Chester, PA
    Des Moines, IA
  • 2003-02-07 → 2004-06-25
    Vsr Financial Services, Inc.
    Overland Park, KS
  • 2002-10-02 → 2003-02-07
    The Masters, Inc.
    W Des Moines, IA
  • 1999-01-05 → 2002-10-04
    Des Moines, IA
Other Businesses

Name: Thelma's Treats, LLC Position: Brand Ambassador Nature: Thelma's Treats is a manufacturer and distributor of ice cream novelties. Their current product line includes specialty flavors of ice cream sandwiches. Thelma's ice cream sandwiches are produced in their factory in Des Moines, IA. The ice cream sandwiches are distributed to grocery stores, convenience stores and other locations such as high school ball park concession stands, and municipal swimming pools across the country. Investment Related: No Hours: 0 Securities Trading Hours: 0 Start Date: 03/01/2024 Address: 2323 Hubbell Avenue, Des Moines IA 50317, United States Description: Conducting in store demonstrations of the product allowing customers to experience the treats. In addition for special events such as the Iowa State Fair I may be asked to sell the product from the Thelma's corn bin.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-11-21
  • S66 Uniform Combined State Law Examination
    1998-11-21
Other Names
  • Sarah L Brown
  • Sarah Lynn Brown

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