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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
RI RA APPROVED 2024-05-03
  • RI RA
    APPROVED
    Since 2024-05-03

Branch Locations

15 Park Row West Suite 102, Providence, RI 02903 • United States

Cumberland, RI • 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
Citizens Securities, Inc. Franklin MA 09/2014 05/2018
Horace Mann Companies Springfield IL 05/2018 03/2021
Horace Mann Investors, Inc Springfield IL 05/2018 02/2021
Horace Mann Companies Springfield IL 04/2021 01/2023
Horace Mann Investors, Inc Springfield IL 03/2021 01/2023
Tiaa Providence RI 04/2024 Present
Tiaa-Cref Individual & Institutional Services, Llc Providence RI 04/2024 Present
J.E.D. Insurance & Financial Services Inc. Foxboro IL 01/2023 11/2023
Unemployed Providence RI 11/2023 04/2024
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-01
S63 Uniform Securities Agent State Law Examination 2013-05-20
  • S65 Uniform Investment Adviser Law Examination
    2016-12-01
  • S63 Uniform Securities Agent State Law Examination
    2013-05-20
Other Names
  • William Anderson Harig
  • Bill Harig
  • William Harig
  • William A Harig

View on SEC IAPD

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