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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-06-28 |
Branch Locations
207 E Shore Drive Suite 230, Spring, TX 77380 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Houston | TX | 12/2007 | 06/2017 |
| Tiaa | Houston | TX | 12/2007 | 06/2017 |
| Tiaa | Houston | TX | 01/2018 | 06/2021 |
| Tiaa-Cref Individual & Institutional Services, Llc | Houston | TX | 01/2018 | 06/2021 |
| Unemployed | Covington | LA | 06/2017 | 01/2018 |
| Financial Engines Advisors L.L.C. | Santa Clara | CA | 06/2021 | Present |
1) F.U.M Investments, LLC; INVESTMENT RELATED: No; ADDRESS: 12 Bitterwood Circle, The Woodlands, TX 77381; NATURE: Own and operate short-term rental property.; POSITION: Owner; START DATE: 10/17/2022; NUMBER OF HOURS/MONTH: 08 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: Own and operate the LLC, which owns one short-term rental property.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-06 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-12 |
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