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 |
|---|---|---|---|---|---|---|---|---|
| Bridgette Elise Sweeney | 5804193 | 6 | 06/25/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Rodriguez Arredondo | 7464228 | 1 | 06/19/2018 | Criminal | Final Disposition | $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 |
| Carolynne Elizabeth Singerman | 3041349 | 5 | 04/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alpha Nakai Clark | 6733383 | 1 | 04/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Asahia Normica Smith | 6260068 | 2 | 04/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Debra Jensen McKay | 7033894 | 2 | 03/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |