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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
CT RA APPROVED 2014-10-29
  • VT RA
    APPROVED
    Since 2025-08-25
  • CT RA
    APPROVED
    Since 2014-10-29

Branch Locations

One Hamden Center 2319 Whitney Avenue, Suite 6A, Hamden, CT 06518 • United States

Madison, CT • 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
Tiaa Hamden CT 10/2014 Present
Tiaa-Cref Individual & Institutional Services, Llc Hamden CT 10/2014 Present
Previous Registrations
  • 2011-08-23 → 2014-10-16
    Hamden, CT
    Hamden, CT
    North Haven, CT
    North Haven, CT
    Fort Mill, SC
    North Haven, CT
    Branford, CT
    Branford, CT
    New Haven, CT
    New Haven, CT
    North Branford, CT
    New Haven, CT
  • 2010-10-28 → 2011-06-28
    Roseburg, OR
Other Businesses

PREDICT SIX, INC. POSITION: President NATURE: Predict Six is a consumer mobile application. The app presents users with six daily yes/no questions about real-world outcomes across six categories: Markets & Economy, Politics & Policy, Sports, Culture & Entertainment, Science & Technology, and World & Geopolitics. Users submit predictions before a daily deadline, and outcomes resolve when the underlying events conclude based on publicly reported facts. The app tracks individual accuracy over time and allows users to compare predictions with friends in self-organized private groups. Uses can choose to access premium features through a paid subscription but the game is free to play. There is no real-money wagering, gambling, prediction market activity, or monetary betting of any kind. Users earn non-monetary points that have no cash value, cannot be redeemed for currency, and cannot be transferred outside the application. The application does not offer, recommend, or facilitate the purchase or sale of any securities, derivatives, or financial products. It does not provide investment advice, financial planning, or any service that overlaps with my responsibilities at TIAA. I do not solicit TIAA clients in connection with this activity, do not use TIAA resources (including email, computer equipment, phone systems, or office space) for this activity, and conduct all work on the application outside of regular TIAA business hours. I serve as President and co-founder, working part-time. My uncle, Phil Davis, serves as co-founder and Secretary. Ownership of the business is split 50/50 between us. The business operates as a Delaware C Corporation. I expect to receive no income or distributions from this business unless we sell it in the future. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2026 ADDRESS: 1512 46th Ave SW, Seattle WA 98116, United States DESCRIPTION: Executive decision making, application development using AI

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-10-27
  • S66 Uniform Combined State Law Examination
    2010-10-27

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