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Brooke Randall Smith

Tiaa-Cref Individual & Institutional Services, LLC

Salt Lake City, UT

Salt Lake City, UT

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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
UT RA APPROVED 2015-12-18
  • UT RA
    APPROVED
    Since 2015-12-18

Branch Locations

505 Wakara Way Suite 220, Salt Lake City, UT 84108 • United States

Salt Lake City, UT • 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 Salt Lake City UT 12/2015 Present
Tiaa-Cref Individual & Institutional Services, Llc Salt Lake City UT 12/2015 Present
Previous Registrations
  • 2014-04-30 → 2015-05-15
    First Western Advisors
    Holladay, UT
    Holladay, UT
  • 2011-07-20 → 2014-02-24
    Strategic Advisers Llc
    Salt Lake City, UT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-07-17
S63 Uniform Securities Agent State Law Examination 1993-08-25
  • S66 Uniform Combined State Law Examination
    2012-07-17
  • S63 Uniform Securities Agent State Law Examination
    1993-08-25

View on SEC IAPD

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