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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer Lynn Beverly Smith | 6034153 | 1 | 08/04/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Colin Michael Pierce | 2618832 | 1 | 10/07/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jarrod Glenn Fowler | 2801490 | 2 | 07/17/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Alexander Washington | 4966092 | 1 | 01/09/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa Hagen Jackson | 7713521 | 1 | 03/11/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Scott Crampton | 4092565 | 2 | 10/15/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alexis Javier | 5888125 | 1 | 08/06/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christal Lynn Thomas | 4773266 | 1 | 07/15/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Franklin McCullah | 841702 | 2 | 06/26/1992 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Scott Franklin McCullah | 841702 | 2 | 06/26/1992 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |