Eric Brandon Stephen

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	2016-05-10

NC RA
APPROVED

Since 2016-05-10

Branch Locations

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

Huntersville, NC • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Tiaa	Charlotte	NC	02/2010	Present
Tiaa-Cref Individual & Institutional Services, Llc	Charlotte	NC	02/2010	Present

02/2010 → Present

Tiaa

Charlotte, NC
02/2010 → Present

Tiaa-Cref Individual & Institutional Services, Llc

Charlotte, NC

Previous Registrations

2007-06-07 → 2008-11-13

Td Ameritrade, Inc.

Omaha, NE

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-11-15

S66 Uniform Combined State Law Examination

2005-11-15

View on SEC IAPD

Current Employers

Tiaa-Cref Individual & Institutional Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

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