Mark David Rau

Tiaa-Cref Individual & Institutional Services, LLC

White Marsh, MD

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Current Employers

Tiaa-Cref Individual & Institutional Services, Llc

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

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2013-03-27

MD RA
APPROVED

Since 2013-03-27

Branch Locations

1410 Clarkview Road, Baltimore, MD 21209 • United States

White Marsh, MD • 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

Organization	City	State	From	To
Tiaa	Baltimore	MD	03/2013	Present
Tiaa-Cref Individual & Institutional Services, Llc	Baltimore	MD	03/2013	Present

03/2013 → Present

Tiaa

Baltimore, MD
03/2013 → Present

Tiaa-Cref Individual & Institutional Services, Llc

Baltimore, MD

Previous Registrations

2005-05-17 → 2013-03-18

Wells Fargo Clearing Services, Llc

Baltimore, MD

Reisterstown, MD

Charlotte, NC

Baltimore, MD

Owings Mills, MD

Glyndon, MD

Columbia, MD

Essex, MD

Owings Mills, MD
2003-09-18 → 2005-02-02

Ameriprise Financial Services, Llc

Owings Mills, MD

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-09-17

S66 Uniform Combined State Law Examination

2003-09-17

View on SEC IAPD

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