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Harry Clinton Thompson

Tiaa-Cref Individual & Institutional Services, LLC

Charlotte, NC

Mint Hill, NC

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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 2023-08-25
  • NC RA
    APPROVED
    Since 2023-08-25

Branch Locations

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

Mint Hill, 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
Wells Fargo Charlotte NC 11/2012 08/2023
Wells Fargo Clearing Services, Llc Charlotte NC 11/2012 08/2023
Tiaa Charlotte NC 08/2023 Present
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 08/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-19
S63 Uniform Securities Agent State Law Examination 2010-07-10
  • S66 Uniform Combined State Law Examination
    2017-04-19
  • S63 Uniform Securities Agent State Law Examination
    2010-07-10
Other Names
  • Harry Clinton Thompson
  • Harry Clinton Thompson

View on SEC IAPD

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