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Joesette Faith Schmitz

Tiaa-Cref Individual & Institutional Services, LLC

Glendale, CO

Thornton, CO

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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
CO RA APPROVED 2022-06-15
  • CO RA
    APPROVED
    Since 2022-06-15

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
Tiaa Denver CO 10/2002 12/2020
Tiaa-Cref Individual & Institutional Services, Llc Denver CO 10/2002 12/2020
Soccer Shots Thornton CO 03/2021 06/2021
Lpl Financial Llc Thornton CO 08/2021 05/2022
Tiaa Denver CO 05/2022 Present
Tiaa-Cref Individual & Institutional Services, Llc Denver CO 05/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-11-20
S63 Uniform Securities Agent State Law Examination 2005-10-07
  • S65 Uniform Investment Adviser Law Examination
    2007-11-20
  • S63 Uniform Securities Agent State Law Examination
    2005-10-07
Other Names
  • Josie Faith Newman
  • Joesette Faith Schmitz
  • Josette Faith Newman
  • Joesette Faith Newman
  • Josie Faith Schmitz
  • Josette Faith Schmitz

View on SEC IAPD

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