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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 2005-08-15
  • NC RA
    APPROVED
    Since 2005-08-15

Branch Locations

Gastonia, NC • United States

8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262 • 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, Llc Charlotte NC 02/2005 Present
Tiaa Charlotte NC 02/2005 Present
Other Businesses

MAGNOLIA DIVORCE COACHING POSITION: Owner NATURE: I will offer Divorce Coaching services, no products offered, just the service of guiding individuals through the Divorce process. No legal or financial advice will be provided. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/12/2024 ADDRESS: Home Address, Charlotte NC 28213, United States DESCRIPTION: Owner

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-05-24
S63 Uniform Securities Agent State Law Examination 2000-10-04
  • S65 Uniform Investment Adviser Law Examination
    2005-05-24
  • S63 Uniform Securities Agent State Law Examination
    2000-10-04
Other Names
  • Susan Renee Shirley

View on SEC IAPD

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