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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-07-06 |
Branch Locations
35 North Lake Avenue Suite 800, Pasadena, CA 91101 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Newport Beach | CA | 09/2006 | 11/2020 |
| Tiaa | Newport Beach | CA | 09/2006 | 11/2020 |
| The Prudential Insurance Company Of America | Irvine | CA | 08/2021 | 04/2022 |
| Pruco Securities Llc | Irvine | CA | 08/2021 | 04/2022 |
| Unemployed | Orange | CA | 11/2020 | 08/2021 |
| Tiaa | Orange | CA | 05/2022 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Orange | CA | 05/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-02-07 |
| S63 | Uniform Securities Agent State Law Examination | 2006-12-22 |
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