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 |
|---|---|---|---|---|---|---|---|---|
| Carine Fischer Smith | 4833492 | 1 | 12/05/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Clint Jenkins | 4892762 | 1 | 12/05/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin James Callaghan | 4798220 | 2 | 08/31/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Rachele Ina Bonus-Newman | 6551393 | 1 | 06/01/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kunal D Vyas | 5312290 | 1 | 05/11/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alicia Kay Huburn | 6772091 | 1 | 05/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicholas Mark Wasielewski | 2904941 | 1 | 03/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy Pedrero | 2992898 | 1 | 07/09/2019 | Customer Dispute | Settled | $142,866.00 | $0.00 | See FINRA Report |
| Timothy Montillano Salunga | 5627351 | 2 | 06/10/2019 | Customer Dispute | Settled | $96,000.00 | $0.00 | See FINRA Report |
| Brady Edward Nance | 4326691 | 1 | 03/12/2019 | Customer Dispute | Settled | $46,800.00 | $0.00 | See FINRA Report |