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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 2017-11-07
  • NC RA
    APPROVED
    Since 2017-11-07

Branch Locations

Charlotte, NC • United States

8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262 • 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
Fidelity Brokerage Services, Llc Greenwood Village CO 01/2014 07/2017
Tiaa Charlotte NC 08/2017 Present
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 08/2017 Present
Other Businesses

(1) ARTMILL PRINTS POSITION: Artmill keeps most of the revenue for selling the prints, but sends me a flat cut per print sold NATURE: Artmill INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/04/2022 ADDRESS: 448 N Halsted St, Chicago IL 60642, United States DESCRIPTION: Selling prints of my astrophotography photos. (2) SHOPIFY POSITION: Artist NATURE: Online store to facilitate the selling of my astrophotography images INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/08/2024 ADDRESS: 33 New Montgomery St, Ste 750, San Francisco CA 94105, United States DESCRIPTION: Artist, website maintenance, order processing (3) GRACE AND POINTE, LLC POSITION: Secretary NATURE: This is a dance boutique retail store owned by my wife that specializes in pointe shoe fittings. Products offered include all types of dance shoes (ballet, tap, ballroom, pointe, etc.) as well as various dance wear and accessories like leotards, bags, tights, and apparel. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2024 ADDRESS: 209 Gilead Road, Huntersville NC 28078, United States DESCRIPTION: Documenting profit/loss numbers and organizing in a spreadsheet for ease of viewing

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-07
S63 Uniform Securities Agent State Law Examination 2014-05-01
  • S66 Uniform Combined State Law Examination
    2017-11-07
  • S63 Uniform Securities Agent State Law Examination
    2014-05-01

View on SEC IAPD

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