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 |
|---|---|---|---|---|---|---|---|---|
| Mathias Bochat Vogt | 6993901 | 1 | 09/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joni Lynn Campos | 2227160 | 2 | 09/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kent Bevan Shuford | 4381996 | 3 | 08/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Asahia Normica Smith | 6260068 | 2 | 08/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Tyler Butler | 6292302 | 1 | 07/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nancy Lynn Starnes | 5132958 | 1 | 07/09/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renata Elena de Leon-Flores | 6587277 | 8 | 06/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Enrique Soto Prado | 7013609 | 1 | 06/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William James Andrews | 7312367 | 4 | 05/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Travis Bergen | 4924401 | 1 | 04/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |