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Caroline Elizabeth Weis

Tiaa-Cref Individual & Institutional Services, LLC

San Rafael, CA

San Francisco, CA

CRD 4662259

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Employer firm

Tiaa-Cref Individual & Institutional Services, LLC CRD 20472

$37.9B regulatory AUM 35,647 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Tiaa-Cref Individual & Institutional Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2026-01-23
VT RA APPROVED 2026-01-23
TX RA APPROVED 2025-10-29
CA RA APPROVED 2025-08-01
  • AL RA
    APPROVED
    Since 2026-01-23
  • VT RA
    APPROVED
    Since 2026-01-23
  • TX RA
    APPROVED
    Since 2025-10-29
  • CA RA
    APPROVED
    Since 2025-08-01

Branch Locations

San Rafael, CA • United States

1 Embarcadero Center 12Th Floor, San Francisco, CA 94111 • 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 San Francisco CA 06/2025 Present
Tiaa San Francisco CA 04/2003 Present
Previous Registrations
  • 2003-05-19 → 2006-11-03
    Tiaa-Cref Trust Company, Fsb
    San Francisco, CA
Designations
  • Certified Financial Planner
  • Chartered Financial Analyst
Other Names
  • Caroline Weis

View on SEC IAPD

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