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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
WA RA APPROVED 2018-04-20
  • WA RA
    APPROVED
    Since 2018-04-20

Branch Locations

601 W. 1St Avenue 14Th Floor, Spokane, WA 99201 • United States

Spokane, WA • 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 Spokane WA 05/2013 Present
Tiaa Spokane WA 05/2013 Present
Other Businesses

MUSICIAN POSITION: Guitar, mandolin, and violin player. NATURE: Playing music. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2022 ADDRESS: Home Address, Spokane WA 99203, United States DESCRIPTION: Sometimes my band plays gigs at bars and events.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-03-12
S63 Uniform Securities Agent State Law Examination 2006-09-21
  • S65 Uniform Investment Adviser Law Examination
    2013-03-12
  • S63 Uniform Securities Agent State Law Examination
    2006-09-21

View on SEC IAPD

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