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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
PA RA APPROVED 2012-04-10
  • PA RA
    APPROVED
    Since 2012-04-10

Branch Locations

1700 Market Street 32Nd Floor/Suite 3222, Philadelphia, PA 19103 • United States

Abington, PA • 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 Philadelphia PA 03/2012 Present
Tiaa Philadelphia PA 03/2012 Present
Previous Registrations
  • 2010-02-04 → 2012-05-02
    Jenkintown, PA
  • 2006-08-10 → 2009-10-14
    Td Ameritrade, Inc.
    Philadelphia, PA
  • 2006-08-10 → 2009-10-14
    Td Ameritrade Investment Management, Llc
    Philadelphia, PA
  • 2005-01-06 → 2007-12-05
    Manchester Advisors
    Huntingdon Valley, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-12-14
S63 Uniform Securities Agent State Law Examination 1992-08-13
  • S65 Uniform Investment Adviser Law Examination
    2004-12-14
  • S63 Uniform Securities Agent State Law Examination
    1992-08-13

View on SEC IAPD

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