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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 2022-01-05
  • NC RA
    APPROVED
    Since 2022-01-05

Branch Locations

8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262 • United States

Charlotte, NC • 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-Cref Individual & Institutional Services, Llc Charlotte NC 05/2015 Present
Tiaa Charlotte NC 05/2015 Present
Previous Registrations
  • 2014-07-07 → 2014-11-12
    Shelby, NC
    Kings Mountain, NC
    St Louis, MO
Other Businesses

RENTAL PROPERTY POSITION: Property owner NATURE: Rental property. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2015 ADDRESS: 110 W Shannonhouse St, Shelby NC 28152, United States DESCRIPTION: Property owner

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-01-05
S66 Uniform Combined State Law Examination 2014-05-09
  • S65 Uniform Investment Adviser Law Examination
    2022-01-05
  • S66 Uniform Combined State Law Examination
    2014-05-09
Other Names
  • Franklin Lau
  • Chun Yin Lau
  • Chun Yin Yin Lau

View on SEC IAPD

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