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David Victor Kleeman

Tiaa-Cref Individual & Institutional Services, LLC

Rochester, NY

Farmington, NY

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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
TX RA APPROVED_RES 2025-08-22
NY RA APPROVED 2021-05-25
  • TX RA
    APPROVED_RES
    Since 2025-08-22
  • NY RA
    APPROVED
    Since 2021-05-25

Branch Locations

35 Celebration Drive, Rochester, NY 14620 • United States

Farmington, NY • 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
M&T Securities, Inc. Rochester NY 05/2008 08/2017
Tiaa Rochester NY 08/2017 Present
Tiaa-Cref Individual & Institutional Services, Llc Rochester NY 08/2017 Present
Previous Registrations
  • 2013-04-08 → 2017-08-28
    M&T Securities, Inc.
    East Rochester, NY
    Baltimore, MD
    Rochester, NY
    Rochester, NY
    Henrietta, NY
    Rochester, NY
    Rochester, NY
    Rochester, NY
    Rochester, NY
    Rochester, NY
    Rochester, NY
    Rochester, NY
    Rochester, NY
    Cheektowaga, NY
    Rochester, NY
    Rochester, NY
    Rochester, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-04-05
S63 Uniform Securities Agent State Law Examination 2008-11-14
  • S65 Uniform Investment Adviser Law Examination
    2013-04-05
  • S63 Uniform Securities Agent State Law Examination
    2008-11-14
Other Names
  • Dave Kleeman
  • David Victor Kleeman
  • David Kleeman

View on SEC IAPD

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