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Robert Vincient Nicolosi

Tiaa-Cref Individual & Institutional Services, LLC

Palo Alto, CA

San Jose, CA

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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 2025-08-19
CA RA APPROVED 2016-11-08
  • TX RA
    APPROVED_RES
    Since 2025-08-19
  • CA RA
    APPROVED
    Since 2016-11-08

Branch Locations

535 Cowper St Suite 200, Palo Alto, CA 94301 • United States

San Jose, CA • 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
Scottrade Sunnyvale CA 09/2014 10/2016
Tiaa Palo Alto CA 10/2016 Present
Tiaa-Cref Individual & Institutional Services, Llc Palo Alto CA 10/2016 Present
Previous Registrations
  • 2010-01-12 → 2011-06-15
    Edelman Financial Engines
    Palo Alto, CA
  • 2009-06-01 → 2009-12-10
    Morgan Stanley
    San Francisco, CA
  • 2009-01-23 → 2009-06-01
    Morgan Stanley & Co. Llc
    San Francisco, CA
  • 2006-09-18 → 2008-09-30
    Fisher Investments
    Plano, TX
  • 2000-09-05 → 2006-06-19
    Morgan Stanley Dw Inc.
    Palo Alto, CA
    Palo Alto, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-11-08
S63 Uniform Securities Agent State Law Examination 2014-11-19
S66 Uniform Combined State Law Examination 2009-02-20
  • S65 Uniform Investment Adviser Law Examination
    2016-11-08
  • S63 Uniform Securities Agent State Law Examination
    2014-11-19
  • S66 Uniform Combined State Law Examination
    2009-02-20
Other Names
  • Robert Nicolosi
  • Robert V Nicolosi

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC · Palo Alto, CA
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