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Tiaa-Cref Individual & Institutional Services, LLC CRD 20472
$37.9B regulatory AUM 35,647 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2023-10-27 |
Branch Locations
500 Ala Moana Blvd. 4Th Floor, Honolulu, HI 96813 • United States
Kaneohe, HI • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bancwest Investment Services, Inc. | Honolulu | HI | 03/2016 | 05/2017 |
| First Hawaiian Bank | Honolulu | HI | 04/2016 | 12/2017 |
| Raymond James Financial Services, Inc. | Honolulu | HI | 05/2017 | 12/2017 |
| Raymond James Financial Services Advisors Inc. | Honolulu | HI | 05/2017 | 12/2017 |
| Axa Advisors, Llc. | New York | NY | 12/2017 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 12/2017 | 12/2020 |
| Tiaa | Honolulu | HI | 07/2023 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Honolulu | HI | 07/2023 | Present |
| Humana, Independent Medicare Agent | Honolulu | HI | 03/2020 | 05/2021 |
| Navian Hawaii | Honolulu | HI | 05/2021 | 12/2021 |
| Unemployed | Honolulu | HI | 01/2022 | 07/2022 |
| Thryv | Honolulu | HI | 07/2022 | 05/2023 |
| Unemployed | Honolulu | HI | 05/2023 | 07/2023 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-10-18 |
| S65 | Uniform Investment Adviser Law Examination | 2016-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-05 |
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