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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2021-02-11 |
Branch Locations
617 Eastlake Avenue East Suite 100, Seattle, WA 98109 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | San Francisco | CA | 04/2007 | 12/2017 |
| Tiaa-Cref Individual & Institutional Services, Llc | San Francisco | CA | 12/2010 | 11/2017 |
| Rbc Capital Markets, Llc | Seattle | WA | 12/2017 | 11/2020 |
| Tiaa-Cref Individual & Institutional Services, Llc | Seattle | WA | 11/2020 | Present |
| Tiaa | Seattle | WA | 11/2020 | Present |
(1) WIPN POSITION: Co-Chair, Seattle Chapter NATURE: WIPN is a national women's organization, with various chapters across the country. Women in the financial services industry come together for events, join webinars for learning, and have access to various resources as a member. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/10/2025 ADDRESS: Home Address, Seattle WA 98125, United States DESCRIPTION: Work to organize events, both in-person and virtual. Find funding for these events through sponsorship opportunities. Work as an administrator on the WIPN Seattle Chapter LinkedIn page. (2) SELF EMPLOYED POSITION: Self employed NATURE: Designing and selling printed materials such as t-shirts, journals, mugs, etc. Will be selling on the Etsy marketplace site. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/11/2025 ADDRESS: Home Address, Seattle WA 98125, United States DESCRIPTION: Design, selling from Etsy
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 2011-01-26 |
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