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 |
| Keith David Gaffney | 2733398 | 2 | 11/14/2023 | Customer Dispute | Closed-No Action | $22,000.00 | $0.00 | See FINRA Report |
| Aaron Michael Aragon | 7021504 | 2 | 10/06/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn Marie Grzyb | 4124662 | 5 | 09/22/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Dawn Marie Grzyb | 4124662 | 5 | 09/20/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn Marie Grzyb | 4124662 | 5 | 09/20/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Quinn Harris | 6919311 | 1 | 09/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chase Reed Frederick | 3079887 | 1 | 09/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kelvin Anthony Sparks | 6312570 | 1 | 08/28/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |