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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-01-22 |
| VT | RA | APPROVED | 2026-01-22 |
| AL | RA | APPROVED | 2025-10-30 |
| NC | RA | APPROVED | 2025-07-23 |
Branch Locations
8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Charlotte | NC | 04/2008 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 07/2025 | Present |
(1) Name: Planners Property Management, LLC - 1/3 owner or rental property Position: LLC Member-Manager Nature: Rental Property Investment Related: Yes Hours: 10 Securities Trading Hours: 0 Start Date: 11/28/2012 Address: Home Address, Harrisburg NC 28075, United States Description: Owning rental properties (2) Name: Southern New Hampshire University Position: Adjunct Professor Nature: Adjunct Faculty for various Finance courses listed below: FIN 250 - Personal Financial Planning FIN 335 - Financial Markets FIN 340 - Fundamentals of Investments FIN 341 - Financial Regulations and Ethics FIN 350 - Advanced Personal Financial Planning FIN 355 - Risk Management and Insurance Planning FIN 450 - Investment portfolio Analysis FIN 460 - Estate Planning and Taxation FIN 470 - Undergraduate Finance Capstone FIN 485 - Financial Plan Development Investment Related: Yes Hours: 20 Securities Trading Hours: 0 Start Date: 03/06/2022 Address: 2500 North River Rd., Manchester NH 03106, United States Description: Teaching online classes (3) BACK NINE PROPERTY GROUP, LLC POSITION: Managing Member NATURE: Rental property business. Business owns mobile homes and lots upon which we will collect rent. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/19/2025 ADDRESS: 18031 Sulton Ter, Huntersville NC 28078, United States DESCRIPTION: 15% owner of a rental property business. Responsibilities will be responding to occasional inquires from property manager.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 2005-07-21 |
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