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Shane Charles Roghaar

Tiaa-Cref Individual & Institutional Services, LLC

Salt Lake City, UT

Salt Lake City, UT

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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
UT RA APPROVED 2013-01-16
  • UT RA
    APPROVED
    Since 2013-01-16

Branch Locations

505 Wakara Way Suite 220, Salt Lake City, UT 84108 • United States

Salt Lake City, UT • 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-Cref Individual & Institutional Services, Llc Salt Lake City UT 01/2000 Present
Tiaa Salt Lake City UT 01/2000 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-28
S63 Uniform Securities Agent State Law Examination 2000-04-20
  • S66 Uniform Combined State Law Examination
    2005-04-28
  • S63 Uniform Securities Agent State Law Examination
    2000-04-20
Other Names
  • Shane Dc Roghaar
  • Shane C Roghaar

View on SEC IAPD

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