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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2012-06-04 |
Branch Locations
3965 Dallas Parkway Frisco Hub, Frisco, TX 75034 • United States
Argyle, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Frisco | TX | 11/2007 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Frisco | TX | 11/2007 | Present |
(1) PONY SQUAD ACCESSORIES POSITION: Self owned business NATURE: To make nice and specialized bows that girls will be able where at horse shows and horse related accessories, like t-shirts, tumblers, hats, etc. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/18/2021 ADDRESS: Home Address, Argyle TX 76226, United States DESCRIPTION: I will make horse show bows and horse related accessories and sell them. (2) SELF-KRISTI SHUMATE POSITION: Pony Owner NATURE: We are leasing our pony for 1 year or selling it. This is a common practice in equestrian and can be part of the selling process. We will receive a lump sum when the pony is leased or sold, no monthly income. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/21/2023 ADDRESS: Home Address, Argyle TX 76226, United States DESCRIPTION: I'm on the lease contract
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 2007-07-17 |
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