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Patricia Lee

Tiaa-Cref Individual & Institutional Services, LLC

New Brunswick, NJ

Springfield, NJ

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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
NJ RA APPROVED 2015-05-22
  • NJ RA
    APPROVED
    Since 2015-05-22

Branch Locations

317 George Street Suite 320, Rooms 318, 320, 321, New Brunswick, NJ 08901 • United States

Springfield, NJ • 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 New Brunswick NJ 05/2015 Present
Tiaa-Cref Individual & Institutional Services, Llc New Brunswick NJ 05/2015 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-04-22
S63 Uniform Securities Agent State Law Examination 2005-11-14
  • S66 Uniform Combined State Law Examination
    2013-04-22
  • S63 Uniform Securities Agent State Law Examination
    2005-11-14
Other Names
  • Patricia Mogg

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · NEW BRUNSWICK, NJ
SCHORPP CAPITAL MANAGEMENT · NORTH BRUNSWICK, NJ
CETERA INVESTMENT ADVISERS LLC · NORTH BRUNSWICK, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NEW BRUNSWICK, NJ
WELLS FARGO CLEARING SERVICES, LLC · NORTH BRUNSWICK, NJ
PARK AVENUE SECURITIES LLC · New Brunswick, NJ
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · NEW BRUNSWICK, NJ
LPL FINANCIAL LLC · NEW BRUNSWICK, NJ

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