Beverly Lynn Briggs Caldwell

Current Employers

Tiaa-Cref Individual & Institutional Services, Llc

730 Third Avenue, New York, NY 10017-3206 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2014-01-14

NC RA
APPROVED

Since 2014-01-14

Branch Locations

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

Huntersville, NC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Tiaa	Huntersville	NC	12/2013	Present
Tiaa-Cref Individual & Institutional Services, Llc	Huntersville	NC	12/2013	Present

12/2013 → Present

Tiaa

Huntersville, NC
12/2013 → Present

Tiaa-Cref Individual & Institutional Services, Llc

Huntersville, NC

Previous Registrations

2009-06-01 → 2014-01-10

Morgan Stanley

Charlotte, NC
2008-05-07 → 2009-06-01

Morgan Stanley & Co. Llc

Charlotte, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-05-06

S66 Uniform Combined State Law Examination

2008-05-06

Other Names

Beverly Briggs
Lynn Briggs
Beverly Lynn Briggs

View on SEC IAPD

Current Employers

Tiaa-Cref Individual & Institutional Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews