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 |
|---|---|---|---|---|---|---|---|---|
| David Alan Ratzker | 6680532 | 1 | 05/06/2020 | Customer Dispute | Closed-No Action | $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 |
| Meghan Elizabeth Roque | 7621444 | 1 | 05/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shaquita Dekendra Pearce | 7440128 | 1 | 04/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Alexander Smith | 5464593 | 1 | 04/27/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patricia Appiah Atiemo | 6424795 | 1 | 04/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Glenn Brian Sheridan | 2196742 | 3 | 04/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenesia Lashae Porter | 6601684 | 1 | 04/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lutelles Lindley White | 6087303 | 1 | 04/03/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher John Tolman | 6232462 | 1 | 03/24/2020 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |