Full text of TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC's X-17A-5 filed 2023-03-01 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| **8-444454** **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a•7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | | ___<br>O_l_/O_l_/_l0_2_ | 2 __ AND ENDING ____ 1 | 2_/3_<br>1_/2_<br>0<br>2_<br>2 _<br>_<br>_ | | |---------------------------------------------------------------------------------|------------------------------|---------------------------------------------------------------------------------|------------------------|-----------------------------------------------|--| | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: __ | | T_IA_A_-_c_R_E_F_ln_d_iv_i_du_a_l_&_i_n_st_it_u_ti_o_n_al_S_e_rv_i_ce_s_, _LL_c | | ___________<br>_ | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | ✓ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 8500 Andrew Carnegie Blvd | | | | | | | | | (No. and Street) | | | | | Charlotte | | NC | | 28262 | | | (City) | | {State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | David L. Barber | | (704) 988-6038 | | DBarber@tiaa.org | | | (Name} | | (Area Code -Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | PricewaterhouseCoopers LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 76 Laura Street | | Jacksonville | FL | 32202 | | | (Address) | | (City) | (State) | (Zip Code) | | | October 20, 2003 | | | | 238 | | | Tie of Registration wah PCJ\OBJ{" applicable I | | | | I<br>(PCAOB Registration Nombe,, • applicab~J | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.1…Read the full text as markdown