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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
VA RA APPROVED 2021-10-27
  • VA RA
    APPROVED
    Since 2021-10-27

Branch Locations

6802 Paragon Place Suite 410,Rooms 437, 438, 439, 440, Richmond, VA 23230 • United States

Richmond, VA • 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
Massachusetts Mutual Life Insurance Co Glen Allen VA 03/2014 01/2020
Mml Investors Services, Llc Glen Allen VA 02/2014 01/2020
Ameritas Investment Company, Llc Lincoln NE 02/2020 03/2021
Ameritas Life Insurance Corp. Lincoln NE 02/2020 03/2021
Commonwealth Insurance Solutions, Llc Mechanicsville VA 02/2020 03/2021
Wells Fargo Clearing Services, Llc Richmond VA 03/2021 09/2021
Wells Fargo Bank, Na Richmond VA 03/2021 09/2021
Tiaa Richmond VA 09/2021 Present
Tiaa-Cref Individual & Institutional Services, Llc Richmond VA 09/2021 Present
  • 03/2014 → 01/2020
    Massachusetts Mutual Life Insurance Co
    Glen Allen, VA
  • 02/2014 → 01/2020
    Mml Investors Services, Llc
    Glen Allen, VA
  • 02/2020 → 03/2021
    Ameritas Investment Company, Llc
    Lincoln, NE
  • 02/2020 → 03/2021
    Ameritas Life Insurance Corp.
    Lincoln, NE
  • 02/2020 → 03/2021
    Commonwealth Insurance Solutions, Llc
    Mechanicsville, VA
  • 03/2021 → 09/2021
    Richmond, VA
  • 03/2021 → 09/2021
    Wells Fargo Bank, Na
    Richmond, VA
  • 09/2021 → Present
    Tiaa
    Richmond, VA
  • 09/2021 → Present
    Richmond, VA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-05-19
S63 Uniform Securities Agent State Law Examination 2014-09-22
  • S66 Uniform Combined State Law Examination
    2021-05-19
  • S63 Uniform Securities Agent State Law Examination
    2014-09-22
Other Names
  • John Benjamin Spooner
  • John B Spooner

View on SEC IAPD

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