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Tiaa-Cref Individual & Institutional Services, LLC CRD 20472
$37.9B regulatory AUM 35,647 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-09-08 |
Branch Locations
1700 Market Street 32Nd Floor/Suite 3222, Philadelphia, PA 19103 • United States
Upper Darby, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citizens Bank | Philadelphia | PA | 05/2016 | 02/2020 |
| Citizens Securities Inc. | Roxborough | PA | 05/2016 | 02/2020 |
| Wells Fargo Bank, Na | Philadelphia | PA | 02/2020 | 08/2023 |
| Wells Fargo Clearing Services, Llc | Philadelphia | PA | 03/2020 | 08/2023 |
| Tiaa | Philadelphia | PA | 08/2023 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Philadelphia | PA | 08/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 2013-06-21 |
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