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Tiaa-Cref Individual & Institutional Services, LLC CRD 20472
$37.9B regulatory AUM 35,647 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-06-18 |
| NY | RA | APPROVED | 2022-03-10 |
Branch Locations
4 Westchester Park Drive Suite 175, White Plains, NY 10604 • United States
New Milford, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 04/2015 | 05/2018 |
| Northwestern Mutual Investment Services Llc | Wilton | CT | 09/2012 | 05/2018 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 02/2017 | 05/2018 |
| Tiaa | White Plains | NY | 05/2018 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | White Plains | NY | 05/2018 | Present |
(10 WATER WITCH HOSE COMPANY 2 POSITION: Board Member NATURE: Board member for the local volunteer fire department. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 8 Grove St, New Milford CT 06776, United States DESCRIPTION: Board member for the local volunteer fire department. (2) RIDER SHARE POSITION: Motorcycle Adventure Leader NATURE: I will be leading motorcycle tours in New England. They will be day trips in the warmer months. Weekends only. Once or twice a year. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/20/2024 ADDRESS: Home address New Milford CT 06776, United States DESCRIPTION: Lead motorcycle adventures through New England
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-07-18 |
| S63 | Uniform Securities Agent State Law Examination | 2016-03-18 |
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