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Employer firm

Tiaa-Cref Individual & Institutional Services, LLC CRD 20472

$37.9B regulatory AUM 35,647 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Tiaa-Cref Individual & Institutional Services, Llc

730 Third Avenue, New York, NY 10017-3206 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-06-18
NY RA APPROVED 2022-03-10
  • CT RA
    APPROVED
    Since 2024-06-18
  • NY RA
    APPROVED
    Since 2022-03-10

Branch Locations

4 Westchester Park Drive Suite 175, White Plains, NY 10604 • United States

New Milford, CT • 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
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
  • 04/2015 → 05/2018
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 09/2012 → 05/2018
    Northwestern Mutual Investment Services Llc
    Wilton, CT
  • 02/2017 → 05/2018
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 05/2018 → Present
    Tiaa
    White Plains, NY
  • 05/2018 → Present
    White Plains, NY
Other Businesses

(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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-18
S63 Uniform Securities Agent State Law Examination 2016-03-18
  • S66 Uniform Combined State Law Examination
    2018-07-18
  • S63 Uniform Securities Agent State Law Examination
    2016-03-18
Other Names
  • George Guest Haydock
  • George G Haydock
  • George G Haydock

View on SEC IAPD

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