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 John McKenna | 7562010 | 1 | 11/02/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryce Donovan-Owen Schultz | 7570657 | 1 | 12/04/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brett Allan Hendricksen | 7015013 | 1 | 10/05/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gavin Michael Mease | 7497820 | 1 | 07/09/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aaron Troy Williams | 4773400 | 2 | 11/16/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shannon Bruce Thomas | 6629536 | 1 | 10/02/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeremiah Lanny Johnson | 6277803 | 1 | 06/29/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Juan Carlos Cardona | 7590156 | 1 | 12/22/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jarrod Jon Traver | 7407434 | 1 | 06/24/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adelso de Jesus Taveras | 6723662 | 1 | 06/12/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |