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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
TX RA APPROVED_RES 2025-08-26
PA RA APPROVED 2017-12-14
  • TX RA
    APPROVED_RES
    Since 2025-08-26
  • PA RA
    APPROVED
    Since 2017-12-14

Branch Locations

141 South St. Clair Street Suite 202, Pittsburgh, PA 15206 • United States

Pittsburgh, PA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Sterling Jewelers Inc. Pittsburgh PA 11/2006 Present
Td Ameritrade Pittsburgh PA 07/2016 12/2017
Tiaa-Creff Individual & Institutional Services, Llc Pittsburgh PA 12/2017 Present
Tiaa Pittsburgh PA 12/2017 Present
  • 11/2006 → Present
    Sterling Jewelers Inc.
    Pittsburgh, PA
  • 07/2016 → 12/2017
    Td Ameritrade
    Pittsburgh, PA
  • 12/2017 → Present
    Tiaa-Creff Individual & Institutional Services, Llc
    Pittsburgh, PA
  • 12/2017 → Present
    Tiaa
    Pittsburgh, PA
Previous Registrations
  • 2016-08-03 → 2017-11-24
    Td Ameritrade, Inc.
    Pittsburgh, PA
  • 2016-08-03 → 2017-11-24
    Td Ameritrade Investment Management, Llc
    Pittsburgh, PA
  • 2014-07-02 → 2015-06-22
    Pittsburgh, PA
Other Businesses

STERLING JEWELERS INC. "JARED THE GALLERIA OF JEWELRY" POSITION: sales associate NATURE: National jewelry retailer. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2006 ADDRESS: 100 McHolme Dr., Pittsburgh PA 15275, United States DESCRIPTION: jewelry sales clerk

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-07-02
  • S66 Uniform Combined State Law Examination
    2014-07-02
Other Names
  • James E Wood

View on SEC IAPD

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