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Christopher James Connor

Tiaa-Cref Individual & Institutional Services, LLC

Charlotte, NC

Indian Trail, 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
AL RA APPROVED 2025-08-14
TX RA APPROVED 2025-08-14
VT RA APPROVED 2025-08-14
NC RA APPROVED 2023-09-22
  • AL RA
    APPROVED
    Since 2025-08-14
  • TX RA
    APPROVED
    Since 2025-08-14
  • VT RA
    APPROVED
    Since 2025-08-14
  • NC RA
    APPROVED
    Since 2023-09-22

Branch Locations

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

Indian Trail, 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
Scottrade Matthews NC 03/2016 11/2017
E*Trade Securities Llc Charlotte NC 11/2017 07/2023
E*Trade Capital Management Llc Charlotte NC 11/2017 07/2023
Scottrade Investment Management Charlotte NC 03/2016 11/2017
Tiaa Charlotte NC 09/2023 Present
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 09/2023 Present
  • 03/2016 → 11/2017
    Scottrade
    Matthews, NC
  • 11/2017 → 07/2023
    E*Trade Securities Llc
    Charlotte, NC
  • 11/2017 → 07/2023
    E*Trade Capital Management Llc
    Charlotte, NC
  • 03/2016 → 11/2017
    Scottrade Investment Management
    Charlotte, NC
  • 09/2023 → Present
    Tiaa
    Charlotte, NC
  • 09/2023 → Present
    Tiaa-Cref Individual & Institutional Services, Llc
    Charlotte, NC
Previous Registrations
  • 2017-11-30 → 2023-08-15
    Harrisdirect Llc
    Charlotte, NC
    Arlington, VA
    Charlotte, NC
  • 2016-07-25 → 2017-11-14
    Scottrade Investment Management
    Saint Louis, MO
  • 2011-06-06 → 2016-03-02
    Harrisdirect Llc
    Arlington, VA
    Charlotte, NC
  • 2007-12-06 → 2011-06-07
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Summit, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-04
S63 Uniform Securities Agent State Law Examination 2006-08-11
  • S66 Uniform Combined State Law Examination
    2007-12-04
  • S63 Uniform Securities Agent State Law Examination
    2006-08-11
Other Names
  • Christopher James Connor
  • Chris Connor
  • Christopher J Connor

View on SEC IAPD

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