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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
MD RA APPROVED 2015-08-26
  • MD RA
    APPROVED
    Since 2015-08-26

Branch Locations

10980 Grantchester Way Suite 340, Columbia, MD 21044 • United States

Timonium, MD • 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
OrganizationCityStateFromTo
Tiaa-Cref Individual & Institutional Services, Llc Columbia MD 08/2015 Present
Tiaa Columbia MD 08/2015 Present
Previous Registrations
  • 2006-08-09 → 2015-08-20
    M&T Securities, Inc.
    Buffalo, NY
    Baltimore, MD
    Baltimore, MD
    Baltimore, MD
    Baltimore, MD
    Baltimore, MD
    Baltimore, MD
    Baltimore, MD
    Baltimore, MD
    Annapolis, MD
    Baltimore, MD
    Towson, MD
    Buffalo, NY
    Towson, MD
    Baltimore, MD
    Baltimore, MD
    Baltimore, MD
    Annapolis, MD
    Timonium, MD
  • 2006-05-09 → 2006-08-02
    Msi Financial Services, Inc.
    Elkridge, MD
    Baltimore, MD
  • 1999-01-01 → 2006-04-04
    Baltimore, MD
Other Businesses

THE ANGIE HOUTZ MEMORIAL SCHOLARSHIP POSITION: BOARD MEMBER NATURE: THIS IS A NON PROFIT SCHOLARSHIP FUND THAT AWARDS SHCOLARSHIP MONEY TO STUDENTS ATTENDING A 2 OR 4 YEARMARYLAND PUBLICCOLLEGE/UNIVERSITY. INVESTMENT RELATED: NO NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2005 ADDRESS: 1450 MERCANTILE LN, SUITE 207C, LARGO MD 20774 DESCRIPTION: I SERVE AS A NON COMPENSATED BOARD MEMBER WHO HELPS WITH REVIEWING STUDENT APPLICATIONS AND IN AWARDING SCHOLARSHIPS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-04
S63 Uniform Securities Agent State Law Examination 1998-02-11
  • S65 Uniform Investment Adviser Law Examination
    1998-11-04
  • S63 Uniform Securities Agent State Law Examination
    1998-02-11
Other Names
  • Nick Wasielewski

View on SEC IAPD

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