James John Karalis

Current Employers

Tiaa-Cref Individual & Institutional Services, Llc

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

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2020-09-15
NJ	RA	APPROVED	2015-10-13

PA RA
APPROVED

Since 2020-09-15
NJ RA
APPROVED

Since 2015-10-13

Branch Locations

155 Village Boulevard Suite A, Princeton, NJ 08540 • United States

Warrington, PA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Tiaa	Princeton	NJ	09/2015	Present
Tiaa-Cref Individual & Institutional Services, Llc	Princeton	NJ	09/2015	Present

09/2015 → Present

Tiaa

Princeton, NJ
09/2015 → Present

Tiaa-Cref Individual & Institutional Services, Llc

Princeton, NJ

Previous Registrations

2013-10-10 → 2015-09-08

Pnc Wealth Management Llc

Cherry Hill, NJ

Other Businesses

KARALIS PROPERTIES LLC POSITION: It is my father's company, I am simply on as a member for estate planning reasons NATURE: Rental property INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/03/2013 ADDRESS: 981 Robbinsville-Edinburg Rd, Robbinsville NJ 08691, United States DESCRIPTION: The LLC owns one rental property

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-10-09
S63	Uniform Securities Agent State Law Examination	2006-10-03

S65 Uniform Investment Adviser Law Examination

2013-10-09
S63 Uniform Securities Agent State Law Examination

2006-10-03

View on SEC IAPD