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John Robert Dorothy

Tiaa-Cref Individual & Institutional Services, LLC

Charlotte, NC

Monroe, 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 2019-11-16
  • NC RA
    APPROVED
    Since 2019-11-16

Branch Locations

8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262 • United States

Monroe, NC • 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 03/2018 Present
Tiaa Charlotte NC 03/2018 Present
State Farm Bloomington IL 10/2014 03/2018
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-15
S63 Uniform Securities Agent State Law Examination 2018-04-30
  • S66 Uniform Combined State Law Examination
    2019-11-15
  • S63 Uniform Securities Agent State Law Examination
    2018-04-30
Other Names
  • John R Dorothy
  • John R Dorothy
  • John Robert Dorothy

View on SEC IAPD

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