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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
TX RA APPROVED 2025-08-21
RI RA APPROVED 2024-06-27
  • TX RA
    APPROVED
    Since 2025-08-21
  • RI RA
    APPROVED
    Since 2024-06-27

Branch Locations

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

Greenville, 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
Metlife Securities Warwick RI 03/2011 03/2017
Mml Investors Services, Llc Warwick RI 03/2017 06/2024
Mass Mutual Life Insurance Company Warwick RI 07/2016 06/2024
Msi Financial Services, Inc. Warwick RI 03/2011 03/2017
Tiaa Providence RI 05/2024 Present
Tiaa-Cref Individual & Institutional Services, Llc Providence RI 05/2024 Present
Previous Registrations
Other Businesses

GREENVILLE TERRACE SUBDIVISION HOMEOWNERS ASSOCIATION POSITION: Board of Director NATURE: Board of Director for Greenville Terrace Subdivision Homeowners Association (GTSHA), which is comprised of 31 lot owners with common ownership of land surrounding Sophia Lane. Annual assessments are paid by each lot owner for maintenance and management of the common land. As a Board member, I provide budget assistance but I do not collect the financial assessment nor have an affiliation to the GTSHA bank account. I am not involved in any monetary transactions, rather recordkeeping of Board meetings, recommendations, and communications to other Board members and lot owners. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/08/2005 ADDRESS: c/o 34 Sophia Ln, Greenville RI 02828, United States DESCRIPTION: Recordkeeping, recommendations, communications

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-01
  • S66 Uniform Combined State Law Examination
    2009-12-01
Other Names
  • Cindy A Houlihan
  • Cindy A Ryan

View on SEC IAPD

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