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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 2014-05-23
  • NC RA
    APPROVED
    Since 2014-05-23

Branch Locations

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

Charlotte, NC • 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 09/2012 Present
Tiaa Charlotte NC 09/2012 Present
Other Businesses

RENTAL PROPERTY POSITION: Own rental property NATURE: I own1 rental property. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2009 ADDRESS: 1230 Capability Dr. unit 102, Raleigh NC 27606, United States DESCRIPTION: I own a home that I rent out. Previously having only 1 rental property didn't require an OBA.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-05-23
S63 Uniform Securities Agent State Law Examination 2012-05-01
  • S66 Uniform Combined State Law Examination
    2014-05-23
  • S63 Uniform Securities Agent State Law Examination
    2012-05-01

View on SEC IAPD

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