Gregory Stuart Swindling

Employer firm

Tiaa-Cref Individual & Institutional Services, LLC CRD 20472

$37.9B regulatory AUM 35,647 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2015 → 11/2020
  Tiaa
  Lewisville, TX
• 08/2015 → 11/2020
  Tiaa-Cref Individual & Institutional Services, Llc
  Lewisville, TX
• 12/2020 → 05/2023
  Fisher Investments
  Plano, TX
• 06/2023 → Present
  Tiaa
  Frisco, TX
• 06/2023 → Present
  Tiaa-Cref Individual & Institutional Services, Llc
  Frisco, TX

Previous Registrations

• 2020-12-16 → 2023-05-17
  Fisher Investments
  Plano, TX
  Plano, TX
• 2015-09-08 → 2020-11-13
  Tiaa-Cref Individual & Institutional Services, Llc
  Frisco, TX
• 2007-07-30 → 2015-08-27
  Td Ameritrade, Inc.
  Westlake, TX
  Fort Worth, TX
  Fort Worth, TX
  Omaha, NE
• 2007-07-30 → 2015-08-27
  Td Ameritrade Investment Management, Llc
  Fort Worth, TX
• 1998-10-29 → 2002-08-09
  Lpl Financial Llc
  Plano, TX

Exams

• S63 Uniform Securities Agent State Law Examination
  2023-07-21
• S65 Uniform Investment Adviser Law Examination
  2015-10-14

Other Names

• Gregory Stuart Swindling
• Gregory Swindling
• Gregg Stuart Swindling
• Gregg Swindling
• Gregory Stuart Swindling
• Gregory Swindling
• Gregory S Swindling