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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 2013-12-06
  • NC RA
    APPROVED
    Since 2013-12-06

Branch Locations

Waxhaw, 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 11/2012 Present
Tiaa Charlotte NC 11/2012 Present
Previous Registrations
Other Businesses

(1) SELF POSITION: Independent Producer NATURE: Produce videos of consumer products and other activities that others would enjoy watching.YouTube, product sponsors, amazon advertising revenue or similar would provide compensation. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 10/30/2020 ADDRESS: Home Address, WAXHAW NC 28173, United States DESCRIPTION: Produce videos of consumer products and other activities that others would enjoy watching. (2) HORIZONMADE TECHNOLOGY, LLC POSITION: Owner and Founder NATURE: Application and digital development. Categories of development:Productivity, Home-School Education, Games, Entertainment, Media (Audio, Photo & Video), Design & Creative, Developer & IT Tools, Utilities & System, Communication & Social, Shopping, Travel & Navigation, Lifestyle, Food & Drink, Health, Wellness & Fitness, News & Weather, Kids & Family, Security & Privacy, Web & Internet, Home & Smart Living. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2026 ADDRESS: 4030 Wake Forest Road, Ste 349, Raleigh NC 27609, United States DESCRIPTION: Owner, Developer, Marketing, etc.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-11-02
  • S66 Uniform Combined State Law Examination
    2012-11-02
Other Names
  • Guy M Defazio

View on SEC IAPD

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