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Kevin Joseph Shamy

Tiaa-Cref Individual & Institutional Services, LLC

Philadelphia, PA

Philadelphia, PA

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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
PA RA APPROVED 2011-10-17
  • PA RA
    APPROVED
    Since 2011-10-17

Branch Locations

1700 Market Street 32Nd Floor/Suite 3222, Philadelphia, PA 19103 • United States

Philadelphia, PA • 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 Philadelphia PA 03/2007 Present
Tiaa Philadelphia PA 03/2007 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-10-15
S63 Uniform Securities Agent State Law Examination 2008-06-28
  • S65 Uniform Investment Adviser Law Examination
    2011-10-15
  • S63 Uniform Securities Agent State Law Examination
    2008-06-28
Other Names
  • Kevin Shamy

View on SEC IAPD

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