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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
WA RA APPROVED 2008-03-06
  • WA RA
    APPROVED
    Since 2008-03-06

Branch Locations

Seattle, WA • United States

929 108Th Ave Ne Suite 720, Bellevue, WA 98004 • 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
Tiaa Bellevue WA 02/2007 Present
Tiaa-Cref Individual & Institutional Services, Llc Bellevue WA 02/2007 Present
Previous Registrations
Other Businesses

AMAZON BOOK SALE POSITION: Author NATURE: Book Writing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2006 ADDRESS: 518 N. 80th St, Seattle WA 98103 DESCRIPTION: I have published a book on Amazon.com that pays a minimal amount annually to me, less than $100 annually. I do not promote this book, it is 100% passive income.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-26
  • S66 Uniform Combined State Law Examination
    2005-08-26

View on SEC IAPD

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