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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
AL RA APPROVED 2026-06-08
VT RA APPROVED 2026-06-08
AZ RA APPROVED 2026-06-05
TX RA APPROVED_RES 2026-06-04
  • AL RA
    APPROVED
    Since 2026-06-08
  • VT RA
    APPROVED
    Since 2026-06-08
  • AZ RA
    APPROVED
    Since 2026-06-05
  • TX RA
    APPROVED_RES
    Since 2026-06-04

Branch Locations

3131 E Camelback Road Suite 420, Phoenix, AZ 85016 • United States

Mesa, AZ • 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
Tiaa Phoenix AZ 05/2026 Present
Tiaa-Cref Individual & Institutional Services, Llc Phoenix AZ 05/2026 Present
Charles Schwab & Co., Inc. Phoenix AZ 03/2015 05/2026
Apple, Inc. Cupertino CA 03/2015 10/2017
Charles Schwab Bank, Ssb Phoenix AZ 03/2015 05/2026
Previous Registrations
  • 2016-12-20 → 2026-05-27
    Phoenix, AZ
    Lone Tree, CO
    Indianapolis, IN
    Phoenix, AZ
    Phoenix, AZ
    Phoenix, AZ
    Phoenix, AZ
    Phoenix, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-20
S63 Uniform Securities Agent State Law Examination 2015-11-07
  • S66 Uniform Combined State Law Examination
    2016-12-20
  • S63 Uniform Securities Agent State Law Examination
    2015-11-07

View on SEC IAPD

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