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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
VT RA APPROVED 2025-08-25
MA RA APPROVED 2022-03-24
NH RA APPROVED 2019-03-01
  • VT RA
    APPROVED
    Since 2025-08-25
  • MA RA
    APPROVED
    Since 2022-03-24
  • NH RA
    APPROVED
    Since 2019-03-01

Branch Locations

2 Buck Road Suite D, Hanover, NH 03755 • United States

380 Russell Street, Hadley, MA 01035 • United States

Keene, NH • 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
Northwestern Mutual Life Insurance Company Milwaukee WI 09/2010 11/2018
Northwestern Mutual Investment Services, Llc Manchester NH 09/2010 11/2018
Tiaa Hanover NH 01/2019 Present
Tiaa-Cref Individual & Institutional Services, Llc Hanover NH 01/2019 Present
Previous Registrations
Other Businesses

(1) THE TILE GROUP, LLC POSITION: Owner/President NATURE: Holding LLC for future potential business INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/08/2024 ADDRESS: Home Address, Keene NH 03431, United States DESCRIPTION: Owner oversight (2) BRATTLEBORO MUSEUM & ART POSITION: Board Member NATURE: Brattleboro Museum & Art Center is a non-collecting contemporary art museum focused on the art of our time. An anchor of southern Vermont's vibrant cultural life, BMAC brings notable art and artists to Brattleboro and provides a platform for its region's many artistic riches. BMAC presents 15-20 exhibitions annually, complemented by 60-70 public programs and extensive educational offerings developed in partnership with area schools and service organizations. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2025 ADDRESS: 10 Vernon St, Brattleboro VT 05301, United States DESCRIPTION: Board Meetings and voting (3) ARROW TILE DISTRIBUTORS, INC POSITION: Owner/President NATURE: Retail and wholesale tile business. Emphasis on ceramic and porcelain tile with retail location and wholesale sales, in Keene location since 1983. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2024 ADDRESS: 411 Winchester St, Keene NH 03431, United States DESCRIPTION: All Oversight

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-09-06
S63 Uniform Securities Agent State Law Examination 2011-01-14
  • S65 Uniform Investment Adviser Law Examination
    2013-09-06
  • S63 Uniform Securities Agent State Law Examination
    2011-01-14

View on SEC IAPD

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