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James Edwin Aughtry

Tiaa-Cref Individual & Institutional Services, LLC

Concord, NC

Charlotte, NC

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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
NC RA APPROVED 2023-10-20
  • NC RA
    APPROVED
    Since 2023-10-20

Branch Locations

Concord, NC • United States

8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262 • 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 Charlotte NC 08/2006 12/2022
Tiaa Charlotte NC 02/2013 12/2022
Tiaa Charlotte NC 10/2023 Present
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 10/2023 Present
Associated Staffing Charlotte NC 02/2023 09/2023
Unemployed Concord NC 01/2023 02/2023
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-06-07
S63 Uniform Securities Agent State Law Examination 2003-12-19
  • S65 Uniform Investment Adviser Law Examination
    2012-06-07
  • S63 Uniform Securities Agent State Law Examination
    2003-12-19
Other Names
  • James Edwin Aughtry
  • James Aughtryiii
  • James E Aughtry

View on SEC IAPD

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