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 |
|---|---|---|---|---|---|---|---|---|
| Nicole Christine Flowers | 7142681 | 1 | 02/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Michael Danielson | 7647082 | 1 | 02/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rona Lorraine Bowers | 4225642 | 2 | 01/18/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Bridgette Elise Sweeney | 5804193 | 6 | 01/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Telera | 4192941 | 5 | 12/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William James Andrews | 7312367 | 4 | 12/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stacy Marisa Badie | 5963715 | 2 | 12/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stacy Marisa Badie | 5963715 | 2 | 12/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Denise Elaine Stuart | 5246423 | 1 | 11/10/2020 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Latanya Tamara Powell | 4128231 | 3 | 09/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |