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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-07-07 |
Branch Locations
3965 Dallas Parkway Frisco Regional, Frisco, TX 75034 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Denver | CO | 03/2007 | 04/2018 |
| Tiaa | Frisco | TX | 10/2018 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Frisco | TX | 10/2018 | Present |
| Unemployed | Denver | CO | 04/2018 | 10/2018 |
Name: FINRA Dispute Resolution Board of Arbitrators Position: Arbitration Panelist Nature: Duties include being selected as an arbitration panelist. I have never been selected to serve on an arbitration panel. Investment Related: No Hours: 0 Securities Trading Hours: 0 Start Date: 05/01/2007 Address: 1735 K Street, NW, Washington DC 20006, United States Description: Duties include being selected as an arbitration panelist. I have never been selected to serve on an arbitration panel.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-03-25 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-26 |
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