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Mallory Shepard Burgess

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 2024-10-02
  • NC RA
    APPROVED
    Since 2024-10-02

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
U.S. Money Reserve Austin TX 02/2016 06/2019
Fidelity Brokerage Services Llc Glen Allen VA 07/2019 01/2020
Raymond James & Associates, Inc. Richmond VA 02/2020 10/2023
Tiaa Charlotte NC 03/2024 Present
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 03/2024 Present
Unemployed Richmond VA 10/2023 03/2024
  • 02/2016 → 06/2019
    U.S. Money Reserve
    Austin, TX
  • 07/2019 → 01/2020
    Fidelity Brokerage Services Llc
    Glen Allen, VA
  • 02/2020 → 10/2023
    Raymond James & Associates, Inc.
    Richmond, VA
  • 03/2024 → Present
    Tiaa
    Charlotte, NC
  • 03/2024 → Present
    Tiaa-Cref Individual & Institutional Services, Llc
    Charlotte, NC
  • 10/2023 → 03/2024
    Unemployed
    Richmond, VA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-09-30
S63 Uniform Securities Agent State Law Examination 2024-07-22
  • S65 Uniform Investment Adviser Law Examination
    2024-09-30
  • S63 Uniform Securities Agent State Law Examination
    2024-07-22
Other Names
  • Mallory S Burgess
  • Mallory Burgess
  • Mallory Shepard Burgess
  • Mallory S. Burgess

View on SEC IAPD

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