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Philip Andrew Baxley

Tiaa-Cref Individual & Institutional Services, LLC

Richmond, VA

Richmond, VA

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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
VA RA APPROVED 2015-01-09
  • VA RA
    APPROVED
    Since 2015-01-09

Branch Locations

6802 Paragon Place Suite 410,Rooms 437, 438, 439, 440, Richmond, VA 23230 • United States

Richmond, VA • 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 Richmond VA 12/2014 Present
Tiaa-Cref Individual & Institutional Services, Llc Richmond VA 12/2014 Present
Previous Registrations
  • 2013-10-04 → 2014-12-23
    Td Ameritrade, Inc.
    Glen Allen, VA
  • 2013-10-17 → 2014-12-23
    Td Ameritrade Investment Management, Llc
    Glen Allen, VA
  • 2010-12-02 → 2013-10-03
    Wells Fargo Clearing Services, Llc
    Richmond, VA
    Richmond, VA
    Richmond, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-12-01
  • S66 Uniform Combined State Law Examination
    2010-12-01

View on SEC IAPD

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UBS FINANCIAL SERVICES INC.
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Other Investors

BRANDON CHRISTOPHER TAYLOR
GABRIEL CHRISTOPHER HOFFMAN
RAYMOND ZSOLT KANYO
KEVIN LAURENCE LONDON
CHRISTOPHER HARRISON HESSENFLOW
AUDREY SANDERS
EDWARD GARRETT WIRWILLE
JOHN JOSEPH SCHLICHTING

Other Offices

TAYLOR HOFFMAN CAPITAL MANAGEMENT · RICHMOND, VA
WEALTHCARE CAPITAL MANAGEMENT LLC · RICHMOND, VA
WEST TOWER GROUP, LLC · RICHMOND, VA
WELLS FARGO CLEARING SERVICES, LLC · RICHMOND, VA
AMERIPRISE FINANCIAL SERVICES, LLC · RICHMOND, VA
WELLS FARGO CLEARING SERVICES, LLC · RICHMOND, VA
CETERA INVESTMENT ADVISERS LLC · RICHMOND, VA
UBS FINANCIAL SERVICES INC. · RICHMOND, VA

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