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Stephen Alan Marshall

Tiaa-Cref Individual & Institutional Services, LLC

Concord, NC

Charlotte, NC

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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 2026-06-23
VT RA APPROVED 2026-06-23
AL RA APPROVED 2026-06-22
NC RA APPROVED 2026-06-22
  • TX RA
    APPROVED_RES
    Since 2026-06-23
  • VT RA
    APPROVED
    Since 2026-06-23
  • AL RA
    APPROVED
    Since 2026-06-22
  • NC RA
    APPROVED
    Since 2026-06-22

Branch Locations

Concord, NC • United States

8500 Andrew Carnegie Blvd. Charlotte Regional, 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
Wells Fargo Clearing Services, Llc Concord NC 09/2021 05/2026
Wells Fargo Bank, Na Concord NC 02/2020 05/2026
At&T Concord NC 11/2013 02/2020
Tiaa Charlotte NC 06/2026 Present
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 06/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-02-14
  • S66 Uniform Combined State Law Examination
    2022-02-14
Other Names
  • Stephen Alan Marshall
  • Stephen Alan Marshall

View on SEC IAPD

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