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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
NC RA APPROVED 2024-11-07
  • NC RA
    APPROVED
    Since 2024-11-07

Branch Locations

8500 Andrew Carnegie Blvd Charlotte Trac, Charlotte, NC 28262 • United States

Monroe, NC • 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
New York Life Insurance Company Charlotte NC 06/2016 01/2018
Nylife Securities Llc Charlotte NC 06/2016 01/2018
Guardian Life Insurance Co Of America Charlotte NC 01/2018 08/2018
Park Avenue Securities Charlotte NC 01/2018 08/2018
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 09/2018 Present
Tiaa Charlotte NC 09/2018 Present
  • 06/2016 → 01/2018
    New York Life Insurance Company
    Charlotte, NC
  • 06/2016 → 01/2018
    Nylife Securities Llc
    Charlotte, NC
  • 01/2018 → 08/2018
    Guardian Life Insurance Co Of America
    Charlotte, NC
  • 01/2018 → 08/2018
    Park Avenue Securities
    Charlotte, NC
  • 09/2018 → Present
    Charlotte, NC
  • 09/2018 → Present
    Tiaa
    Charlotte, NC
Other Businesses

(1) Name: Climate Care of the Carolinas Position: Part Owner, have no immediate roll. Wanted my name to be on company so we can qualify for different grants/loans because of my minority status. Also, if my husband ever passed I would not have as many issues. Nature: The company will assist customers with home repairs, maintenance, and warranty work on their HVAC Units. Investment Related: No Hours: 5 Securities Trading Hours: 0 Start Date: 04/09/2018 Address: Home Address, Monroe NC 28112, United States Description: I am co-owner of this company with my husband. We have not went live yet, and do not have an exact date as to when he will start accepting customers. (2) FIELDS OF BLOSSOMS POSITION: I would be the owner and sole worker of the farm NATURE: I would utilize FB Marketplace to advertise for bouquets and partner with local stores and florists to sale my flowers. Potentially going to local farmers markets to also sale seasonal bouquets. I would use the evenings and weekends to run my flower business. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 01/23/2023 ADDRESS: Home Address, Monroe NC 28112, United States DESCRIPTION: I plan to start a Flower Farm, growing native Flowers to NC along with Herbs.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-07
S63 Uniform Securities Agent State Law Examination 2017-09-26
  • S66 Uniform Combined State Law Examination
    2024-11-07
  • S63 Uniform Securities Agent State Law Examination
    2017-09-26
Other Names
  • Niki April Kae Burton
  • Niki April Kae Mumpower
  • Niki April Mumpower

View on SEC IAPD

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