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Johnny Mojica

Tiaa-Cref Individual & Institutional Services, LLC

Charlotte, NC

Charlotte, NC

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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 2022-09-27
  • NC RA
    APPROVED
    Since 2022-09-27

Branch Locations

8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262 • United States

Charlotte, 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
Wells Fargo Clearing Services, Llc Charlotte NC 08/2018 08/2020
Mecklenburg County Sheriffs Office Charlotte NC 06/2017 08/2018
State Of Nc Charlotte NC 01/2016 06/2017
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 08/2020 Present
Tiaa Charlotte NC 08/2020 Present
  • 08/2018 → 08/2020
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
  • 06/2017 → 08/2018
    Mecklenburg County Sheriffs Office
    Charlotte, NC
  • 01/2016 → 06/2017
    State Of Nc
    Charlotte, NC
  • 08/2020 → Present
    Tiaa-Cref Individual & Institutional Services, Llc
    Charlotte, NC
  • 08/2020 → Present
    Tiaa
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-11-08
S63 Uniform Securities Agent State Law Examination 2020-02-07
  • S65 Uniform Investment Adviser Law Examination
    2021-11-08
  • S63 Uniform Securities Agent State Law Examination
    2020-02-07

View on SEC IAPD

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