Michael Rollin Smith

Tiaa-Cref Individual & Institutional Services, LLC

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Current Employers

Tiaa-Cref Individual & Institutional Services, Llc

730 Third Avenue, New York, NY 10017-3206 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-08-22
OH	RA	APPROVED	2014-08-13

TX RA
APPROVED_RES

Since 2025-08-22
OH RA
APPROVED

Since 2014-08-13

Branch Locations

Kirtland, OH • United States

Two Chagrin Highlands, 3000 Auburn Drive Suite 150, Beachwood, OH 44122 • 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

Organization	City	State	From	To
Tiaa	Cleveland	OH	08/2014	Present
Tiaa-Cref Individual & Institutional Services, Llc	Cleveland	OH	08/2014	Present

08/2014 → Present

Tiaa

Cleveland, OH
08/2014 → Present

Tiaa-Cref Individual & Institutional Services, Llc

Cleveland, OH

Previous Registrations

2012-08-03 → 2014-08-04

Charles Schwab & Co., Inc.

Copley, OH

Westlake, OH
2008-07-30 → 2012-07-23

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Cleveland, OH
2006-09-29 → 2008-07-11

Ameriprise Financial Services, Llc

Pepper Pike, OH

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-02-27

S66 Uniform Combined State Law Examination

2007-02-27

View on SEC IAPD

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