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Tiaa-Cref Individual & Institutional Services, LLC CRD 20472
$37.9B regulatory AUM 35,647 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-12-11 |
Branch Locations
Rowland Heights, CA • United States
19200 Von Karman Ave 4Th Floor, Irvine, CA 92612 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E*Trade Securities Llc | Boston | MA | 11/2015 | 07/2023 |
| E*Trade Capital Management Llc | Boston | MA | 11/2015 | 07/2023 |
| Morgan Stanley | Boston | MA | 03/2023 | 07/2023 |
| Tiaa | Irvine | CA | 07/2023 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Irvine | CA | 07/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-01-20 |
| S65 | Uniform Investment Adviser Law Examination | 1994-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-22 |
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