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 |
|---|---|---|---|---|---|---|---|---|
| Rodney Octave Pettus | 3238808 | 4 | 12/22/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John T Egan | 5934807 | 4 | 11/21/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rodney Octave Pettus | 3238808 | 4 | 09/28/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Debbie Dehon Rose | 1912733 | 1 | 09/22/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rodney Octave Pettus | 3238808 | 4 | 02/18/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Glen Volden | 2701314 | 1 | 03/15/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Freeman Buckner Irby | 2223441 | 1 | 11/26/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thor August Johnson | 4058353 | 1 | 11/05/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lane Grizzard | 2595087 | 2 | 02/26/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |