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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
NC RA APPROVED 2017-03-31
  • NC RA
    APPROVED
    Since 2017-03-31

Branch Locations

Charlotte, NC • United States

8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262 • United States

Disclosures

2 disclosure categories 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 04/2016 Present
Tiaa Charlotte NC 04/2016 Present
Previous Registrations
Other Businesses

(1) ONE HOPE POSITION: Sales NATURE: Selling Wine via hosting tastings out of my home as well as soliciting hostesses to host tastings from their homes as well with a small percentage(10%)of the proceeds going to charity. This activity will yield commissions and incentives for me of which I don't anticipate being more than a few thousand dollars per every 6 months. Also, my start date of 9/20/23 is the date that my personal site was finalized but I have not started engaging in any activities but will expect to over the next 2 months. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/20/2023 ADDRESS: 8301 St. Helena Hwy, Napa CA 94558, United States DESCRIPTION: Soliciting potential party hostesses to host wine tastings while a small percentage is donated to charity or a non profit of the hostesses choice. (2) TMS GLOBAL POSITION: Activate Coach NATURE: Working with assigned churches to assist/coach them in their efforts to become more missions based. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2025 ADDRESS: 6234 Crooked Creek Rd NW, Norcross GA 30092, United States DESCRIPTION: Meeting with churches monthly to guide them through the process and steps to become missions based over a 24 month period

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-05
S63 Uniform Securities Agent State Law Examination 2010-10-22
  • S66 Uniform Combined State Law Examination
    2012-12-05
  • S63 Uniform Securities Agent State Law Examination
    2010-10-22
Other Names
  • Bridgette Sweeney

View on SEC IAPD

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