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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
AL RA APPROVED 2026-07-13
VT RA APPROVED 2026-07-10
TX RA APPROVED 2026-07-09
  • AL RA
    APPROVED
    Since 2026-07-13
  • VT RA
    APPROVED
    Since 2026-07-10
  • TX RA
    APPROVED
    Since 2026-07-09

Branch Locations

3965 Dallas Parkway Frisco Regional, Frisco, TX 75034 • United States

Prosper, TX • 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 Bank, Na Dallas TX 02/2020 06/2026
Wells Fargo Clearing Services, Llc Dallas TX 12/2022 06/2026
United States Army Lawton VA 12/2007 02/2020
Tiaa Frisco TX 06/2026 Present
Tiaa-Cref Individual & Institutional Services, Llc Frisco TX 06/2026 Present
Previous Registrations
Other Businesses

(1) Name: Prosper Signature Services LLC Position: Owner/Notary Nature: I am an active Texas state notary looking to conduct notary services outside of normal working business hours. I am seeking to also do virtual signings for clients to include loan documents. Investment Related: No Hours: 8 Securities Trading Hours: 0 Start Date: 07/08/2026 Address: Home Address, Prosper TX 75078, United States Description: Notary Signing Services (2) Name: Tea Tree Properties LLC Position: Manager Nature: Tea Tree Properties is an operating company owned by Prosper Investment Group LLC Investment Related: Yes Hours: 4 Securities Trading Hours: 0 Start Date: 03/22/2024 Address: Home Address, Prosper TX 75078, United States Description: Real Estate Leasing Ops (3) Name: Prosper Investment Group LLC Position: owner Nature: Holding Company who owns Tea Tree Properties LLC Investment Related: Yes Hours: 4 Securities Trading Hours: 0 Start Date: 03/19/2024 Address: Home Address, Prosper TX 75078, United States Description: Real Estate Leasing for rental

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-05-22
S63 Uniform Securities Agent State Law Examination 2023-04-07
  • S65 Uniform Investment Adviser Law Examination
    2023-05-22
  • S63 Uniform Securities Agent State Law Examination
    2023-04-07
Other Names
  • Christopher Robins

View on SEC IAPD

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