Michael Christopher Dipenta

Current Employers

Tiaa-Cref Individual & Institutional Services, Llc

730 Third Avenue, New York, NY 10017-3206 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2015-06-15

NC RA
APPROVED

Since 2015-06-15

Branch Locations

5425 Page Road Suite 220, Durham, NC 27703 • United States

Holly Springs, NC • 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

Organization	City	State	From	To
Tiaa	Durham	NC	06/2015	Present
Tiaa-Cref Individual & Institutional Services, Llc	Durham	NC	06/2015	Present

06/2015 → Present

Tiaa

Durham, NC
06/2015 → Present

Tiaa-Cref Individual & Institutional Services, Llc

Durham, NC

Previous Registrations

2008-09-15 → 2015-05-27

Td Ameritrade, Inc.

Cary, NC
2008-09-15 → 2015-05-27

Td Ameritrade Investment Management, Llc

Cary, NC

Cary, NC
2006-06-29 → 2008-09-10

Ameriprise Financial Services, Llc

Raleigh, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-06-28

S66 Uniform Combined State Law Examination

2006-06-28