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 |
|---|---|---|---|---|---|---|---|---|
| Anvi Satish Gandhi | 7555538 | 3 | 08/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Joseph Fago | 1564659 | 1 | 08/12/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daryl Edward Anderson | 2556513 | 1 | 08/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Dale Kinney | 6223743 | 2 | 08/02/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cedric Bernard Provost | 7422874 | 1 | 07/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Trevor Lee Gilman | 6500167 | 2 | 07/21/2021 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Angel Solis | 5247807 | 1 | 07/17/2021 | Customer Dispute | Closed-No Action | $6,332.00 | $0.00 | See FINRA Report |
| Craig Spencer Parkin | 3066538 | 1 | 07/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Titan Bekee Chijioke | 7813611 | 4 | 06/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jan Lee Getto | 2714455 | 1 | 06/22/2021 | Customer Dispute | Withdrawn | $77,462.10 | $0.00 | See FINRA Report |