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 |
|---|---|---|---|---|---|---|---|---|
| Waldo Carleri Hernandez-Garcia | 7014999 | 1 | 02/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daphne Dawn D'Spain | 2899520 | 1 | 01/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renata Elena de Leon-Flores | 6587277 | 8 | 01/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renata Elena de Leon-Flores | 6587277 | 8 | 01/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adunni Covington | 5958793 | 4 | 01/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Ratice Brannon | 5402252 | 1 | 12/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renata Elena de Leon-Flores | 6587277 | 8 | 12/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John James Fader | 1433090 | 5 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kent Bevan Shuford | 4381996 | 3 | 11/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Onika Kirk Jennings | 2965762 | 3 | 11/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |