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 |
|---|---|---|---|---|---|---|---|---|
| Carolynne Elizabeth Singerman | 3041349 | 5 | 03/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Bruce Buller | 4957543 | 1 | 03/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Desiree Michelle Lucero | 5525510 | 1 | 03/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy M Wallace | 3237123 | 2 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Jo Turner | 5093470 | 2 | 02/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Shea Thompson | 5051743 | 1 | 01/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tenesha Ronnette Barron | 6864721 | 2 | 01/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tenesha Ronnette Barron | 6864721 | 2 | 01/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John James Fader | 1433090 | 5 | 01/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Lyn Alves | 6067639 | 4 | 11/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |