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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 2025-06-23
  • NC RA
    APPROVED
    Since 2025-06-23

Branch Locations

8500 Andrew Carnegie Blvd. Charlotte Hub, 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
Florida Financial Advisors Dba Tristate Financial Advisors Charlotte NC 12/2024 05/2025
Pennsylvania State University State College PA 08/2021 12/2024
Marzoni's Brick Oven And Brewing State College PA 09/2023 08/2024
Port Sky Cafe, Penn State Altoona Altoona PA 12/2021 12/2023
Kumon Temple City CA 04/2021 08/2021
Foothill Credit Union Arcadia CA 06/2019 07/2019
Arcadia High School Arcadia CA 08/2017 06/2021
Foothills Middle School Arcadia CA 08/2014 07/2017
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 06/2025 Present
Tiaa Charlotte NC 06/2025 Present
  • 12/2024 → 05/2025
    Florida Financial Advisors Dba Tristate Financial Advisors
    Charlotte, NC
  • 08/2021 → 12/2024
    Pennsylvania State University
    State College, PA
  • 09/2023 → 08/2024
    Marzoni's Brick Oven And Brewing
    State College, PA
  • 12/2021 → 12/2023
    Port Sky Cafe, Penn State Altoona
    Altoona, PA
  • 04/2021 → 08/2021
    Kumon
    Temple City, CA
  • 06/2019 → 07/2019
    Foothill Credit Union
    Arcadia, CA
  • 08/2017 → 06/2021
    Arcadia High School
    Arcadia, CA
  • 08/2014 → 07/2017
    Foothills Middle School
    Arcadia, CA
  • 06/2025 → Present
    Charlotte, NC
  • 06/2025 → Present
    Tiaa
    Charlotte, NC
Previous Registrations
Other Businesses

Name: Freelance Tutor Position: Freelance Tutor Nature: I am a freelance tutor. I am unincorporated and the business is unaffiliated with any firm. The business is not investment related in any nature and there are no hours of operation during trading hours. The only service provided is youth tutoring in various academic topics at an hourly fee, either virtual or in-person. I started in November of 2024 and the commitment takes about 9 hours a week, my responsibilities include scheduling sessions each week, preparing materials, and conducting each session. Investment Related: No Hours: 36 Securities Trading Hours: 0 Start Date: 11/04/2024 Address: Home Address, Charlotte NC 28277, United States Description: The commitment takes 9 hours a week, my responsibilities include scheduling sessions each week, preparing materials, and conducting each session.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2025-07-09
S65 Uniform Investment Adviser Law Examination 2024-11-13
  • S63 Uniform Securities Agent State Law Examination
    2025-07-09
  • S65 Uniform Investment Adviser Law Examination
    2024-11-13
Other Names
  • A R

View on SEC IAPD

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