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Todd Randall Smith

Tiaa-Cref Individual & Institutional Services, LLC

Charlotte, NC

Charlotte, NC

CRD 4310336

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Employer firm

Tiaa-Cref Individual & Institutional Services, LLC CRD 20472

$37.9B regulatory AUM 35,647 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Tiaa-Cref Individual & Institutional Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2014-05-22
  • NC RA
    APPROVED
    Since 2014-05-22

Branch Locations

8500 Andrew Carnegie Blvd. Charlotte Hub, 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 Charlotte NC 07/2012 Present
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 07/2012 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-05-22
S63 Uniform Securities Agent State Law Examination 2001-03-02
  • S65 Uniform Investment Adviser Law Examination
    2014-05-22
  • S63 Uniform Securities Agent State Law Examination
    2001-03-02

View on SEC IAPD

Nearby Firms

FIRST TRYON ADVISORS
MUIRFIELD WEALTH ADVISORS LLC
MAI CAPITAL MANAGEMENT, LLC

Nearby Investors

JOSHUA REESE BAILEY
PHILIP REESE BAILEY
MICHELE V STUTTS

Nearby Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC

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