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 |
|---|---|---|---|---|---|---|---|---|
| Steven Craig Jenkins | 6629523 | 1 | 11/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheryl Jaffe Curtis | 5824832 | 2 | 10/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tonya Marie McKinney | 6257339 | 2 | 01/01/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heath Andrew Polzer | 5082873 | 1 | 07/11/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael John Dziomba | 2912572 | 1 | 10/26/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John T Egan | 5934807 | 4 | 11/24/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Benjamin Kohn | 2137403 | 1 | 10/11/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John T Egan | 5934807 | 4 | 07/21/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tobin Lamont Lyon | 3204651 | 2 | 05/25/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rodney Octave Pettus | 3238808 | 4 | 04/18/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |