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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
NE RA APPROVED 2017-10-30
  • NE RA
    APPROVED
    Since 2017-10-30

Branch Locations

14301 Fnb Parkway Suites 100, Omaha, NE 68154 • United States

233 S. 13Th Street Suite 1100, Lincoln, NE 68508 • United States

Omaha, NE • 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
Td Ameritrade Investment Management, Llc Omaha NE 02/2011 10/2017
Tiaa Omaha NE 10/2017 Present
Tiaa-Cref Individual & Institutional Services, Llc Omaha NE 10/2017 Present
Previous Registrations
  • 2011-02-11 → 2017-10-13
    Td Ameritrade, Inc.
    Omaha, NE
    Omaha, NE
    Omaha, NE
    Jersey City, NJ
    Omaha, NE
  • 2011-02-11 → 2017-10-13
    Td Ameritrade Investment Management, Llc
    Omaha, NE
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-02-04
S63 Uniform Securities Agent State Law Examination 2010-07-02
  • S66 Uniform Combined State Law Examination
    2011-02-04
  • S63 Uniform Securities Agent State Law Examination
    2010-07-02

View on SEC IAPD

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