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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
TX RA APPROVED_RES 2026-01-29
AL RA APPROVED 2026-01-28
VT RA APPROVED 2026-01-28
CT RA APPROVED 2005-02-09
  • TX RA
    APPROVED_RES
    Since 2026-01-29
  • AL RA
    APPROVED
    Since 2026-01-28
  • VT RA
    APPROVED
    Since 2026-01-28
  • CT RA
    APPROVED
    Since 2005-02-09

Branch Locations

225 High Ridge Road Suite# 115E, Stamford, CT 06905 • United States

Riverside, CT • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Tiaa-Cref Individual & Institutional Services,Llc Stamford CT 09/1991 Present
Tiaa Stamford CT 09/1991 Present
  • 09/1991 → Present
    Tiaa-Cref Individual & Institutional Services,Llc
    Stamford, CT
  • 09/1991 → Present
    Tiaa
    Stamford, CT
Other Businesses

SELF-RENTAL PROPERTY POSITION: Owner NATURE: Rental property INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2011 ADDRESS: Home Address, Riverside CT 06878, United States DESCRIPTION: Own rental property

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-05-24
S63 Uniform Securities Agent State Law Examination 1992-03-31
  • S65 Uniform Investment Adviser Law Examination
    2005-05-24
  • S63 Uniform Securities Agent State Law Examination
    1992-03-31
Other Names
  • Lisa Prairie
  • Lisa Danielle Prairie
  • Lisa Mcgrath

View on SEC IAPD

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