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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
NY RA APPROVED 2021-05-25
  • NY RA
    APPROVED
    Since 2021-05-25

Branch Locations

131 East Green Street Suite 4, Ithaca, NY 14850 • United States

Cortland, NY • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Tiaa Ithaca NY 09/2014 Present
Tiaa-Cref Individual & Institutional Services, Llc Ithaca NY 09/2014 Present
Previous Registrations
  • 2008-09-19 → 2014-10-02
    M&T Securities, Inc.
    Rochester, NY
    Syracuse, NY
    Cortland, NY
    Ithaca, NY
    Ithaca, NY
    Syracuse, NY
    East Syracuse, NY
    Dewitt, NY
    Syracuse, NY
    Camden, NY
    Rome, NY
    Paramus, NJ
    Syracuse, NY
    East Syracuse, NY
    Ithaca, NY
    Dewitt, NY
  • 2007-09-07 → 2008-09-05
    Rochester, NY
    St Louis, MO
    Penfield, NY
Other Businesses

(1) SWEET SPRINGS FARM POSITION: Owner NATURE: Farming INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 08/04/2021 ADDRESS: Home Address, CORTLAND NY 13045, United States DESCRIPTION: We have not started this business yet but will with TIAA approval. This is a Farm growing fruit, Huney, sugar maple trees, ginseng, (2) RENT POSITION: land owner NATURE: Farming INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/02/2012 ADDRESS: Home Address, CORTLAND NY 13045, United States DESCRIPTION: We rent land to a local farmer

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-06
  • S66 Uniform Combined State Law Examination
    2006-09-06

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