Mitchell Juda

Current Employers

Tiaa-Cref Individual & Institutional Services, Llc

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2024-05-06

NC RA
APPROVED

Since 2024-05-06

Branch Locations

Charlotte, NC • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Northwestern Mutual Investment Services Llc	Charlotte	NC	02/2017	10/2019
Foti Kanos	Charlotte	NC	07/2017	10/2017
The University Of North Carolina	Charlotte	NC	08/2014	05/2018
Northwestern Mutual Life Insurance Company	Milwaukee	WI	10/2017	10/2019
Northwesternm Mutual Wealth Management Company	Milwaukee	WI	10/2018	10/2019
Disys	Charlotte	NC	12/2019	03/2021
Wells Fargo Clearing Services	Charlotte	NC	04/2021	07/2023
Bank Of America	Charlotte	NC	12/2019	03/2021
Raymond James Financial Services, Inc.	Cornelius	NC	08/2023	03/2024
Williamson Wealth Group, Inc.	Cornelius	NC	07/2023	03/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Charlotte	NC	12/2019	03/2021
Tiaa	Charlotte	NC	04/2024	Present
Tiaa-Cref Individual & Institutional Services, Llc	Charlotte	NC	04/2024	Present

02/2017 → 10/2019

Northwestern Mutual Investment Services Llc

Charlotte, NC
07/2017 → 10/2017

Foti Kanos

Charlotte, NC
08/2014 → 05/2018

The University Of North Carolina

Charlotte, NC
10/2017 → 10/2019

Northwestern Mutual Life Insurance Company

Milwaukee, WI
10/2018 → 10/2019

Northwesternm Mutual Wealth Management Company

Milwaukee, WI
12/2019 → 03/2021

Disys

Charlotte, NC
04/2021 → 07/2023

Wells Fargo Clearing Services

Charlotte, NC
12/2019 → 03/2021

Bank Of America

Charlotte, NC
08/2023 → 03/2024

Raymond James Financial Services, Inc.

Cornelius, NC
07/2023 → 03/2024

Williamson Wealth Group, Inc.

Cornelius, NC
12/2019 → 03/2021

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC
04/2024 → Present

Tiaa

Charlotte, NC
04/2024 → Present

Tiaa-Cref Individual & Institutional Services, Llc

Charlotte, NC

Other Businesses

Name: Norm's Closet Position: Owner Nature: Norm's Closet is an online collegiate merchandiser that sells UNC Charlotte officially licensed merchandise and apparel.These items include clothes, memorabilia and accessories. Investment Related: No Hours: 10 Securities Trading Hours: 0 Start Date: 07/01/2020 Address: Home Address, Charlotte NC 28204, United States Description: Design and Sales

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-05-03
S63	Uniform Securities Agent State Law Examination	2017-09-25

S65 Uniform Investment Adviser Law Examination

2024-05-03
S63 Uniform Securities Agent State Law Examination

2017-09-25

Other Names

Mitchell Juda

View on SEC IAPD