Our Staff has compiled our research into a database of FINRA Broker Disclosures for Tiaa-Cref Individual & Institutional Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Timothy John Brauninger | 4146207 | 1 | 11/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kirsten Gabrielle Sutton | 6920358 | 1 | 10/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Edwin Ford | 6604747 | 2 | 10/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Edwin Ford | 6604747 | 2 | 10/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hassan Kareen King | 6264096 | 1 | 09/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kay Lessie Parker | 5513456 | 1 | 09/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mathias Bochat Vogt | 6993901 | 1 | 09/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joni Lynn Campos | 2227160 | 2 | 09/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kent Bevan Shuford | 4381996 | 3 | 08/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Asahia Normica Smith | 6260068 | 2 | 08/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |