Renee Margaret Smith

Current Employers

Tiaa-Cref Individual & Institutional Services, Llc

730 Third Avenue, New York, NY 10017-3206 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2012-10-16

CO RA
APPROVED

Since 2012-10-16

Branch Locations

3965 Dallas Parkway Frisco Trac, Frisco, TX 75034 • United States

Aurora, CO • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Tiaa-Cref Individual & Institutional Services, Llc	Aurora	CO	02/2008	Present
Tiaa	Aurora	CO	02/2008	Present

02/2008 → Present

Tiaa-Cref Individual & Institutional Services, Llc

Aurora, CO
02/2008 → Present

Tiaa

Aurora, CO

Previous Registrations

2006-07-31 → 2008-02-29

Msi Financial Services, Inc.

Greenwood Village, CO
2005-03-16 → 2006-06-12

Waddell & Reed

Denver, CO

Denver, CO

Other Businesses

RENEE SMITH DBA MISTY RIVER, LLC POSITION: Owner NATURE: Farming INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/11/2018 ADDRESS: 12991 E. Cornell Ave, Aurora CO 80014, United States DESCRIPTION: It's a vertical farm that sells retail produce to restaurants, communities, and grocery stores.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-10-15
S65	Uniform Investment Adviser Law Examination	2005-03-15
S63	Uniform Securities Agent State Law Examination	2000-02-04

S66 Uniform Combined State Law Examination

2012-10-15
S65 Uniform Investment Adviser Law Examination

2005-03-15
S63 Uniform Securities Agent State Law Examination

2000-02-04

View on SEC IAPD