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Joel Frasor

Tiaa-Cref Individual & Institutional Services, LLC

Chicago, IL

Palos Heights, IL

CRD 2159640

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Employer firm

Tiaa-Cref Individual & Institutional Services, LLC CRD 20472

$37.9B regulatory AUM 35,647 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Tiaa-Cref Individual & Institutional Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2013-12-06
  • IL RA
    APPROVED
    Since 2013-12-06

Branch Locations

333 W. Wacker Drive 28Th & 30Th Floors, Chicago, IL 60606 • United States

Palos Heights, IL • 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 Chicago IL 04/2012 Present
Tiaa Chicago IL 04/2012 Present
Nuveen Securities, Llc Chicago IL 10/2021 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-12-05
S63 Uniform Securities Agent State Law Examination 2002-12-20
  • S66 Uniform Combined State Law Examination
    2013-12-05
  • S63 Uniform Securities Agent State Law Examination
    2002-12-20
Other Names
  • Joel Denton Frasor

View on SEC IAPD

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GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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