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Richard Francis Jones

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 2008-03-04
  • NC RA
    APPROVED
    Since 2008-03-04

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
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 06/1991 Present
Tiaa Charlotte NC 06/1991 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-03-03
S63 Uniform Securities Agent State Law Examination 1995-09-25
  • S65 Uniform Investment Adviser Law Examination
    2008-03-03
  • S63 Uniform Securities Agent State Law Examination
    1995-09-25
Other Names
  • Rich Jones

View on SEC IAPD

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