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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-03-11 |
Branch Locations
8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262 • United States
Charlotte, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 09/2016 | 11/2020 |
| Tiaa | Charlotte | NC | 09/2016 | 11/2020 |
| Freed Maxick Abl Services, Llc | Buffalo | NY | 05/2015 | 09/2016 |
| The Vanguard Group, Inc. | Charlotte | NC | 11/2020 | 02/2022 |
| Vanguard Marketing Corporation | Charlotte | NC | 11/2020 | 02/2022 |
| Vanguard Advisers, Inc. | Charlotte | NC | 11/2020 | 02/2022 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 02/2022 | Present |
| Tiaa | Charlotte | NC | 02/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 2016-11-04 |
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