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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 2011-02-10
  • NC RA
    APPROVED
    Since 2011-02-10

Branch Locations

8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262 • United States

Waxhaw, 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 02/2011 Present
Tiaa Charlotte NC 02/2011 Present
Previous Registrations
  • 2006-06-02 → 2011-01-26
    Carolinas Investment Consulting Llc
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-06-01
S63 Uniform Securities Agent State Law Examination 1991-07-29
  • S65 Uniform Investment Adviser Law Examination
    2006-06-01
  • S63 Uniform Securities Agent State Law Examination
    1991-07-29
Other Names
  • Ed Kiss

View on SEC IAPD

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