Ana Maria Laura Harding

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

Authority	Category	Status	Date
CO	RA	APPROVED	2022-11-09

CO RA
APPROVED

Since 2022-11-09

Branch Locations

720 South Colorado Boulevard Suite 1100, Glendale, CO 80246 • United States

Thornton, CO • 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

Organization	City	State	From	To
Oppenheimerfunds Distributor, Inc.	Centennial	CO	01/2016	08/2019
Tiaa	Denver	CO	08/2019	Present
Tiaa-Cref Individual And Institutional Services, Llc	Denver	CO	08/2019	Present

01/2016 → 08/2019

Oppenheimerfunds Distributor, Inc.

Centennial, CO
08/2019 → Present

Tiaa

Denver, CO
08/2019 → Present

Tiaa-Cref Individual And Institutional Services, Llc

Denver, CO

Other Businesses

ROGERSONS ENTERPRISES LLC POSITION: owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/02/2009 ADDRESS: 10942 Fairfax ct, Thornton CO 80233, United States DESCRIPTION: Family Condo in Florida that gets rented as rental property

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-11-08
S63	Uniform Securities Agent State Law Examination	2019-09-03

S66 Uniform Combined State Law Examination

2022-11-08
S63 Uniform Securities Agent State Law Examination

2019-09-03

View on SEC IAPD