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 |
|---|---|---|---|---|---|---|---|---|
| David Thomas Garrison | 5784455 | 1 | 02/06/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Chris Flynn | 4297590 | 1 | 12/10/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Glorioso | 4292271 | 1 | 01/23/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Onika Kirk Jennings | 2965762 | 3 | 11/19/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Onika Kirk Jennings | 2965762 | 3 | 07/02/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Edward Guglielmi | 4264515 | 1 | 10/19/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samuel Casias | 2800456 | 1 | 08/23/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jennifer Lynn Beverly Smith | 6034153 | 1 | 08/04/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Colin M Pierce | 2618832 | 1 | 10/07/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jarrod Glenn Fowler | 2801490 | 2 | 07/17/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |