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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 2005-03-24
  • NC RA
    APPROVED
    Since 2005-03-24

Branch Locations

8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262 • United States

Huntersville, 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-Cref Individual & Institutional Services, Llc Charlotte NC 04/2002 Present
Tiaa Charlotte NC 04/2002 Present
Previous Registrations
  • 2005-01-07 → 2005-03-24
    Tiaa-Cref Trust Company, Fsb
    St. Louis, MO
Other Businesses

PORTRAIT AND EVENT PHOTOGRAPHY; ED HURLEY PHOTOGRAPHY; NOT AN INVESTMENT RELATED ACTIVITY; Home Address, HUNTERSVILLE,NC; EFFECTIVE DATE: 9/9/2014; DEVOTE 3-4 HOURS PER WEEK; ZERO HOURS DEVOTED DURING SECURITY TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-01-06
S63 Uniform Securities Agent State Law Examination 2003-05-16
  • S65 Uniform Investment Adviser Law Examination
    2005-01-06
  • S63 Uniform Securities Agent State Law Examination
    2003-05-16

View on SEC IAPD

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