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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
CO RA APPROVED 2018-03-29
  • CO RA
    APPROVED
    Since 2018-03-29

Branch Locations

Longmont, CO • United States

1670 Broadway, Suite 3300 Denver Regional, Denver, CO 80202-5602 • 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-Cref Individual & Institutional Services, Llc Denver CO 07/2006 Present
Tiaa Denver CO 07/2006 Present
Other Businesses

(1) FRED CLAGUE POSITION: Care Provider NATURE: Providing care to my elderly father INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 03/08/2018 ADDRESS: 3701 Doral Drive, Longmont CO 80503, United States DESCRIPTION: Care Provider (2) SELLING MERCHANDISE ONLINE POSITION: Owner NATURE: Selling household items on eBay INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 05/21/2020 ADDRESS: Home Address, Longmont CO 80503, United States DESCRIPTION: I would like to establish a store on eBay to sell household items (3) RENT TIMESHARE POSITION: SST - Service Support Consultant within IAC NATURE: Renting of my timeshare property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/20/2021 ADDRESS: Home Address, Longmont CO 80503, United States DESCRIPTION: Renting of my timeshare property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-03-29
S63 Uniform Securities Agent State Law Examination 2006-09-25
  • S66 Uniform Combined State Law Examination
    2018-03-29
  • S63 Uniform Securities Agent State Law Examination
    2006-09-25
Other Names
  • Gary Clague

View on SEC IAPD

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