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Jeffrey Michael Thompson

Tiaa-Cref Individual & Institutional Services, LLC

Kenly, NC

Durham, NC

CRD 5163630

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Employer firm

Tiaa-Cref Individual & Institutional Services, LLC CRD 20472

$37.9B regulatory AUM 35,647 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Tiaa-Cref Individual & Institutional Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2014-06-03
  • NC RA
    APPROVED
    Since 2014-06-03

Branch Locations

Kenly, NC • United States

5425 Page Road Suite 220, Durham, NC 27703 • 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 Kenly NC 04/2014 Present
Tiaa-Cref Individual & Institutional Services, Llc Kenly NC 04/2014 Present
Previous Registrations
  • 2011-10-07 → 2014-04-16
    Capfinancial Securities, Llc.
    Raleigh, NC
  • 2009-02-03 → 2011-10-11
    Wells Fargo Clearing Services, Llc
    Greensboro, NC
    Raleigh, NC
    Wilson, NC
    Winston Salem, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-10-16
S63 Uniform Securities Agent State Law Examination 2006-08-31
  • S65 Uniform Investment Adviser Law Examination
    2008-10-16
  • S63 Uniform Securities Agent State Law Examination
    2006-08-31
Other Names
  • Jeffrey M Thompson
  • Jeffrey Thompson

View on SEC IAPD

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