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Heather Brooks Peters

Tiaa-Cref Individual & Institutional Services, LLC

Durham, NC

High Point, NC

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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 2023-10-03
  • NC RA
    APPROVED
    Since 2023-10-03

Branch Locations

5425 Page Road Suite 220, Durham, NC 27703 • United States

High Point, 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
Bb&T Retirement & Institutional Services Greensboro NC 01/2016 12/2020
Resources Investment Advisors Overland Park KS 01/2021 03/2021
Valic Financial Advisors, Inc. Houston TX 03/2021 08/2023
Bb&T Institutional Investment Advisers, Inc. Greensboro NC 04/2017 12/2020
Tiaa High Point NC 09/2023 Present
Tiaa-Cref Individual & Institutional Services, Llc High Point NC 09/2023 Present
  • 01/2016 → 12/2020
    Bb&T Retirement & Institutional Services
    Greensboro, NC
  • 01/2021 → 03/2021
    Resources Investment Advisors
    Overland Park, KS
  • 03/2021 → 08/2023
    Valic Financial Advisors, Inc.
    Houston, TX
  • 04/2017 → 12/2020
    Bb&T Institutional Investment Advisers, Inc.
    Greensboro, NC
  • 09/2023 → Present
    Tiaa
    High Point, NC
  • 09/2023 → Present
    Tiaa-Cref Individual & Institutional Services, Llc
    High Point, NC
Previous Registrations
  • 2021-03-29 → 2023-09-20
    Valic Financial Advisors, Inc.
    Houston, TX
  • 2021-01-04 → 2021-03-23
    Onedigital
    Greensboro, NC
    Overland Park, KS
  • 2017-05-02 → 2020-12-31
    Bb&T Institutional Investment Advisers, Inc.
    Greensboro, NC
    Greenville, SC
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-01-24
S65 Uniform Investment Adviser Law Examination 2017-04-24
  • S63 Uniform Securities Agent State Law Examination
    2024-01-24
  • S65 Uniform Investment Adviser Law Examination
    2017-04-24
Other Names
  • Heather Brooks Gaddy
  • Heather Brooks Peters
  • Heather Peters

View on SEC IAPD

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