Niall Robert Lepper

Current Employers

Tiaa-Cref Individual & Institutional Services, Llc

730 Third Avenue, New York, NY 10017-3206 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2024-07-09
SC	RA	APPROVED	2024-06-27

NC RA
APPROVED

Since 2024-07-09
SC RA
APPROVED

Since 2024-06-27

Branch Locations

8500 Andrew Carnegie Blvd Charlotte Trac, Charlotte, NC 28262 • United States

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

Fort Mill, SC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Tiaa	Charlotte	NC	09/2013	Present
Tiaa-Cref Individual & Institutional Services, Llc	Charlotte	NC	09/2013	Present

09/2013 → Present

Tiaa

Charlotte, NC
09/2013 → Present

Tiaa-Cref Individual & Institutional Services, Llc

Charlotte, NC

Previous Registrations

2012-05-15 → 2013-09-18

Lpl Financial Llc

Ballston, NY

Schenectady, NY

Lockport, NY

Albany, NY

Watervliet, NY

East Greenbush, NY

North Greenbush, NY

Albany, NY

Troy, NY

Clifton Park, NY
2009-05-12 → 2012-05-15

Hsbc Securities (Usa) Inc.

Vails Gate, NY

Highland Falls, NY

Syracuse, NY

Nyack, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-05-11
S63	Uniform Securities Agent State Law Examination	2007-06-16

S65 Uniform Investment Adviser Law Examination

2009-05-11
S63 Uniform Securities Agent State Law Examination

2007-06-16