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 |
|---|---|---|---|---|---|---|---|---|
| Charwana Loraine Gaulden | 6971128 | 1 | 02/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Benavidez | 6976210 | 2 | 01/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bobby Lee Slate | 3043107 | 2 | 12/15/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Perry | 5420423 | 1 | 11/20/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Craig Jenkins | 6629523 | 1 | 11/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheryl Jaffe Curtis | 5824832 | 2 | 10/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Michael Houser | 5721502 | 1 | 10/28/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brett Allan Hendricksen | 7015013 | 1 | 10/05/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Joseph Thauvette | 5085717 | 1 | 08/26/2014 | Customer Dispute | Settled | $5,280.00 | $0.00 | See FINRA Report |
| Stephen Adam Jackson | 6105096 | 1 | 07/03/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |