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Tiaa-Cref Individual & Institutional Services, LLC CRD 20472
$37.9B regulatory AUM 35,647 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2025-08-25 |
| AL | RA | APPROVED | 2025-08-15 |
| TX | RA | APPROVED | 2025-08-15 |
| NC | RA | APPROVED | 2024-04-11 |
Branch Locations
8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262 • United States
Iron Station, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Charlotte | NC | 01/2003 | 03/2019 |
| Alight Financial Advisors, Llc | Charlotte | NC | 03/2019 | 02/2022 |
| Alight Financial Solutions, Llc | Charlotte | NC | 03/2019 | 02/2022 |
| E*Trade Securities Llc | Charlotte | NC | 02/2022 | 09/2023 |
| E*Trade Capital Management Llc | Charlotte | NC | 02/2022 | 12/2023 |
| Morgan Stanley | Alpharetta | GA | 09/2023 | 12/2023 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 01/2003 | 01/2019 |
| Tiaa | Charlotte | NC | 04/2024 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 04/2024 | Present |
| Unemployed | Iron Station | NC | 01/2024 | 03/2024 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1999-05-04 |
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