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Richard Franklyn O'BRien

Tiaa-Cref Individual & Institutional Services, LLC

Coventry, RI

Princeton, NJ

CRD 4315845

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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
RI RA APPROVED 2010-04-30
  • RI RA
    APPROVED
    Since 2010-04-30

Branch Locations

Coventry, RI • United States

155 Village Boulevard Suite A, Princeton, NJ 08540 • 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 Coventry RI 04/2010 Present
Tiaa Coventry RI 04/2010 Present
Previous Registrations
  • 2004-03-24 → 2010-04-16
    Charles Schwab & Co., Inc.
    Providence, RI
    Providence, RI
  • 2001-05-31 → 2004-03-09
    Msi Financial Services, Inc.
    Providence, RI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-02-05
  • S66 Uniform Combined State Law Examination
    2001-02-05

View on SEC IAPD

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