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 |
|---|---|---|---|---|---|---|---|---|
| Heather Ann Anderson | 5620604 | 3 | 07/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John James Fader | 1433090 | 5 | 06/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Taylor Lauren O'Neill | 6274622 | 1 | 05/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latanya Tamara Powell | 4128231 | 3 | 05/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shaun A Bharrat | 5801643 | 1 | 03/19/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francisco Jose Vargas-MacHuca | 6173414 | 6 | 03/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francisco Jose Vargas-MacHuca | 6173414 | 6 | 02/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Immanuel Wayne Williams | 7817991 | 1 | 02/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zahria Nicole Brown | 7143632 | 1 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathaniel Alexandre Preval | 6971149 | 1 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |