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 |
|---|---|---|---|---|---|---|---|---|
| Eric Brandon Stephen | 3197951 | 1 | 10/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Glynis Kathlyn Burgess | 7625347 | 1 | 10/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan John Davis | 7823247 | 2 | 09/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan John Davis | 7823247 | 2 | 09/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin James Callaghan | 4798220 | 2 | 08/31/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Renata Elena de Leon-Flores | 6587277 | 8 | 08/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Michelle Miranda | 5093619 | 1 | 08/28/2021 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Trevor Lee Gilman | 6500167 | 2 | 08/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Roberts | 4841734 | 1 | 08/27/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anvi Satish Gandhi | 7555538 | 3 | 08/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |