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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
AL RA APPROVED 2026-01-22
TX RA APPROVED 2025-10-29
VT RA APPROVED 2025-10-29
CO RA APPROVED 2025-08-26
  • AL RA
    APPROVED
    Since 2026-01-22
  • TX RA
    APPROVED
    Since 2025-10-29
  • VT RA
    APPROVED
    Since 2025-10-29
  • CO RA
    APPROVED
    Since 2025-08-26

Branch Locations

720 South Colorado Boulevard Suite 1100, Glendale, CO 80246 • United States

Thornton, CO • 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
Fidelity Brokerage Services Llc Greenwood Village CO 06/2013 09/2017
Unemployed Aurora CO 10/2017 03/2018
Fidelity Brokerage Services Llc Greenwood Village CO 03/2018 09/2019
Fidelity Personal And Workplace Advisors Boston MA 07/2018 09/2019
Strategic Advisers, Inc. Greenwood Village CO 05/2018 07/2018
Strategic Advisers, Inc. Greenwood Village CO 08/2013 09/2017
Tiaa-Cref Individual & Institutional Services, Llc Denver CO 07/2025 Present
Tiaa Denver CO 09/2019 Present
  • 06/2013 → 09/2017
    Fidelity Brokerage Services Llc
    Greenwood Village, CO
  • 10/2017 → 03/2018
    Unemployed
    Aurora, CO
  • 03/2018 → 09/2019
    Fidelity Brokerage Services Llc
    Greenwood Village, CO
  • 07/2018 → 09/2019
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 05/2018 → 07/2018
    Strategic Advisers, Inc.
    Greenwood Village, CO
  • 08/2013 → 09/2017
    Strategic Advisers, Inc.
    Greenwood Village, CO
  • 07/2025 → Present
    Denver, CO
  • 09/2019 → Present
    Tiaa
    Denver, CO
Previous Registrations
Other Businesses

Name: Rental Position: Owner Nature: This is a townhome that I own and converted into a rental property. Investment Related: Yes Hours: 0 Securities Trading Hours: 0 Start Date: 11/10/2020 Address: 14251 E. Dickinson Drive, Unit #C, Aurora CO 80014, United States Description: I am the owner of the rental property. I pay a property manager to handle all management duties

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-05-17
S63 Uniform Securities Agent State Law Examination 1997-06-16
  • S66 Uniform Combined State Law Examination
    2006-05-17
  • S63 Uniform Securities Agent State Law Examination
    1997-06-16
Designations
Other Names
  • Duane Parks
  • Carlon Duane Parks
  • Duane Parks
  • Carlon Parks

View on SEC IAPD

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