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Tiaa-Cref Individual & Institutional Services, LLC CRD 20472
$37.9B regulatory AUM 35,647 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2025-11-04 |
| VT | RA | APPROVED | 2025-11-04 |
| TX | RA | APPROVED | 2023-11-16 |
Branch Locations
3965 Dallas Parkway Frisco Regional, Frisco, TX 75034 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tapfin/Ey | Princeton | TX | 05/2023 | 07/2023 |
| Unemployed | Princeton | TX | 02/2023 | 05/2023 |
| Usaa Investment Services Company | Plano | TX | 10/2022 | 02/2023 |
| Unemployed | Princeton | TX | 06/2022 | 10/2022 |
| Charles Schwab & Co., Inc. | Westlake | TX | 08/2021 | 04/2022 |
| Avantax Advisory Services | Coppell | TX | 05/2021 | 07/2021 |
| Unemployed | Princeton | TX | 01/2021 | 03/2021 |
| J.P. Morgan Securities Llc | Plano | TX | 01/2020 | 02/2021 |
| Charles Schwab & Co., Inc. | Westlake | TX | 04/2018 | 10/2019 |
| Unemployed | Princeton | TX | 01/2018 | 04/2018 |
| Td Ameritrade Investment Management, Llc | Fort Worth | TX | 07/2015 | 01/2018 |
| Ernst & Young Investment Advisers Llp | Princeton | TX | 05/2023 | 07/2023 |
| Avantax Investment Services, Inc. | Coppell | TX | 05/2021 | 07/2021 |
| Td Ameritrade, Inc. | Fort Worth | TX | 04/2015 | 01/2018 |
| Tiaa | Frisco | TX | 10/2023 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Frisco | TX | 10/2023 | Present |
Name: Uber Technologies, INC Position: Driver Nature: Uber Tech is a ride sharing company. When working for Uber as a driver, you're a contractor. I haven't been driving for Uber in a while. But I'm technically still on their Uber App. I can go live or take rides at any time. Investment Related: No Hours: 0Securities Trading Hours: 0Start Date: 01/08/2014 Address: 1515 3rd Street, San Francisco CA 94158, United States Description: Drive Uber clients from Point A to B
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-18 |
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