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Julie E Warren

Tiaa-Cref Individual & Institutional Services, LLC

Providence, RI

Norton, MA

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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
MA RA APPROVED 2024-07-17
RI RA APPROVED 2023-10-13
  • MA RA
    APPROVED
    Since 2024-07-17
  • RI RA
    APPROVED
    Since 2023-10-13

Branch Locations

15 Park Row West Suite 102, Providence, RI 02903 • United States

Norton, MA • 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
Wachovia Securities, Llc St. Louis MO 03/2014 05/2022
Tiaa Providence RI 10/2023 Present
Tiaa-Cref Individual & Institutional Services, Llc Providence RI 10/2023 Present
Unemployed Norton MA 05/2022 10/2023
Wells Fargo & Co St. Louis MO 03/2012 05/2022
  • 03/2014 → 05/2022
    Wachovia Securities, Llc
    St. Louis, MO
  • 10/2023 → Present
    Tiaa
    Providence, RI
  • 10/2023 → Present
    Tiaa-Cref Individual & Institutional Services, Llc
    Providence, RI
  • 05/2022 → 10/2023
    Unemployed
    Norton, MA
  • 03/2012 → 05/2022
    Wells Fargo & Co
    St. Louis, MO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-16
  • S66 Uniform Combined State Law Examination
    2007-10-16
Other Names
  • Julie E Peterson
  • Julie Warren

View on SEC IAPD

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