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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
NC RA APPROVED 2026-06-24
  • NC RA
    APPROVED
    Since 2026-06-24

Branch Locations

8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262 • United States

Charlotte, NC • 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
Tiaa-Cref Individual & Institutional Services, Inc. Charlotte NC 01/2004 05/2024
Tiaa Charlotte NC 07/2001 06/2024
Lpl Financial Fort Mill SC 04/2025 11/2025
Vanguard Marketing Corporation Charlotte NC 11/2025 05/2026
Walden University Charlotte NC 05/2016 12/2017
Unemployed Charlotte NC 05/2024 04/2025
Tiaa Charlotte NC 06/2026 Present
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 06/2026 Present
  • 01/2004 → 05/2024
    Tiaa-Cref Individual & Institutional Services, Inc.
    Charlotte, NC
  • 07/2001 → 06/2024
    Tiaa
    Charlotte, NC
  • 04/2025 → 11/2025
    Lpl Financial
    Fort Mill, SC
  • 11/2025 → 05/2026
    Vanguard Marketing Corporation
    Charlotte, NC
  • 05/2016 → 12/2017
    Walden University
    Charlotte, NC
  • 05/2024 → 04/2025
    Unemployed
    Charlotte, NC
  • 06/2026 → Present
    Tiaa
    Charlotte, NC
  • 06/2026 → Present
    Charlotte, NC
Previous Registrations
Other Businesses

Name: Amazon Position: Fulfillment Associate -L1 Nature: Amazon.com is an e-commerce platform that sells many product lines, including media (Amazon.com is an e-commerce platform that sells many product lines, including media (books, movies, music, and software), apparel, baby products, consumer electronics, beauty products, gourmet food, groceries, health and personal care products, industrial & scientific supplies, kitchen items, jewelry, watches, lawn and garden items, musical instruments, sporting goods, tools, automotive items, toys and games, Investment Related: No Hours: 50 Securities Trading Hours: 0 Start Date: 06/16/2026 Address: 3620 Reeves Ridge Drive, CLT9, Charlotte NC 28214, United States Description: Job Duties: Sort customer packages by final destination zip code and consolidate them for pallet wrapping for final destination delivery in Amazon Warehouse (CLT9)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-16
S63 Uniform Securities Agent State Law Examination 2001-08-04
  • S65 Uniform Investment Adviser Law Examination
    2009-12-16
  • S63 Uniform Securities Agent State Law Examination
    2001-08-04
Other Names
  • Pamela Montgomery
  • Pam D Montgomery
  • Pam Montgomery
  • Pamela D Montgomery

View on SEC IAPD

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