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Christian Sherman Wathen

Tiaa-Cref Individual & Institutional Services, LLC

Wheaton, IL

Arlington Heights, IL

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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
IL RA APPROVED 2020-12-23
  • IL RA
    APPROVED
    Since 2020-12-23

Branch Locations

55 East Loop Road Suite 101, Wheaton, IL 60189 • United States

Arlington Heights, IL • 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 Wheaton IL 06/2014 Present
Tiaa-Cref Individual & Institutional Services, Llc Wheaton IL 06/2014 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-06-16
S65 Uniform Investment Adviser Law Examination 2012-03-02
  • S63 Uniform Securities Agent State Law Examination
    2014-06-16
  • S65 Uniform Investment Adviser Law Examination
    2012-03-02
Other Names
  • Chris Wathen
  • Christian S Wathen

View on SEC IAPD

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