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Simon Lu

Tiaa-Cref Individual & Institutional Services, LLC

Pasadena, CA

Pasadena, 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
CA RA APPROVED 2017-09-11
  • CA RA
    APPROVED
    Since 2017-09-11

Branch Locations

35 North Lake Avenue Suite 800, Pasadena, CA 91101 • United States

Pasadena, 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
Jpmorgan Chase Bank Alhambra CA 02/2011 08/2017
J.P. Morgan Securities Llc Alhambra CA 10/2012 08/2017
Tiaa Pasadena CA 08/2017 Present
Tiaa-Cref Individual & Institutional Services, Llc Pasadena CA 08/2017 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-24
S63 Uniform Securities Agent State Law Examination 2012-05-22
  • S66 Uniform Combined State Law Examination
    2017-02-24
  • S63 Uniform Securities Agent State Law Examination
    2012-05-22

View on SEC IAPD

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