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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Robert Swick | 6835646 | 2 | 06/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Surai Basanow Quimby | 6054786 | 3 | 06/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rhea Nerissa Haynes | 5221360 | 1 | 05/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Monica Latoya Keyes | 5980023 | 1 | 04/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samir Girish Patel | 4121109 | 1 | 02/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luckens Damus | 6166077 | 1 | 02/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Benavidez | 6976210 | 2 | 02/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charwana Loraine Gaulden | 6971128 | 1 | 02/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Benavidez | 6976210 | 2 | 01/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Perry | 5420423 | 1 | 11/20/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |