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Won Heo

Tiaa-Cref Individual & Institutional Services, LLC

Frisco, TX

Lewisville, TX

CRD 2214062

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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
TX RA APPROVED 2023-07-25
  • TX RA
    APPROVED
    Since 2023-07-25

Branch Locations

3965 Dallas Parkway Frisco Hub, Frisco, TX 75034 • United States

Lewisville, TX • 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
Fidelity Brokerage Services Llc Dallas TX 11/1995 12/2021
Tiaa Frisco TX 07/2023 Present
Tiaa-Cref Individual & Institutional Services, Llc Frisco TX 07/2023 Present
Unemployment Lewisville TX 01/2022 06/2023
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-17
S63 Uniform Securities Agent State Law Examination 1996-05-10
  • S66 Uniform Combined State Law Examination
    2022-12-17
  • S63 Uniform Securities Agent State Law Examination
    1996-05-10
Other Names
  • Won Heo
  • Tom Heo

View on SEC IAPD

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