TIAA KASPICK, LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 104554). Regulatory assets under management: $8.7B.
Compensation: % of AUM, Hourly.
Clients served: High net worth, Pooled vehicles, Other.
Showing 25 of 70 people.
| Name | Role | Location |
|---|---|---|
| Scott Lee | MEMBER, BOARD OF MANAGERS | North Bend, WA |
| Lewis Lee | GENERAL COUNSEL | SPOKANE, WA |
| Himani Trivedi | MEMBER, BOARD OF MANAGERS | New York, NY |
| Scott B Lee | MEMBER, BOARD OF MANAGERS | Orlando, FL |
| Scott Rhys Lee | MEMBER, BOARD OF MANAGERS | Vancouver, A1 |
| Scott M Lee | MEMBER, BOARD OF MANAGERS | San Mateo, CA |
| Thomas Joseph Scott | GENERAL COUNSEL | — |
| Joseph Patrick Gerharz | CHIEF FINANCIAL OFFICER | — |
| David Sean Lyons | CHIEF COMPLIANCE OFFICER | — |
| Mohammad Ali Iqbal | CHAIR, BOARD OF MANAGERS/PRESIDENT | — |
| Bradley Finkle | MEMBER, BOARD OF MANAGERS | — |
| Ian Celecia | GENERAL COUNSEL | — |
| Derek James Heaslip | MANAGER | — |
| Richard Jon Immesberger | MEMBER, BOARD OF MANAGERS | — |
| Damon Whelchel | CHIEF INVESTMENT OFFICER | — |
| Robert Duncan Spivey | CHIEF OPERATING OFFICER | — |
| BRUNET STUART REDMAN | CHIEF COMPLIANCE OFFICER | — |
| RYGMYR ADYM WAGNER | CHIEF LEGAL OFFICER; GENERAL COUNSEL | — |
| DECKBAR CAROL WARD | MEMBER, BOARD OF MANAGERS | — |
| TERMOHLEN SUSAN MARY | MEMBER | — |
| KORTHALS CHARLES ALAN | CHIEF CLIENT RELATIONSHIP OFFICER; MEMBER | — |
| KASPICK JEFFREY SCOTT | MANAGING DIRECTOR; MEMBER, BOARD OF MANAGERS; MEMBER, BOARD OF MANAGERS, AND CHAIRMAN EMERITUS | — |
| MASON ABIGAIL | MEMBER | — |
| MESEC COLLEEN SUSAN | CHIEF COMPLIANCE OFFICER; COMPLIANCE OFFICER; RISK MANAGEMENT OFFICER | — |
| MILTENBERGER FRANCINE MARIE | CHIEF OPERATING OFFICER; MEMBER, BOARD OF MANAGERS; PRESIDENT; AND CHIEF EXECUTIVE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-07-18 | regulatory | TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA ("TIAA") ACCEPTED A CONSENT ORDER FOR FAILING TO PROVIDE A TIMELY CYBERSECURITY EVENT NOTIFICATION TO THE MIA IN VIOLATION OF ?33-105(A) WHICH REQUIRES CARRIERS TO GIVE NOTICE TO THE MIA WITHIN THREE BUSINESS DAYS OF DETERMINING A CYBERSECURITY E… | Final | $1K |
| 2020-03-02 | regulatory | THE ALLEGED VIOLATIONS INCLUDED THE FOLLOWING: FAILURE TO PROVIDE THE "NOTICE OF AVAILABILITY OF THE DEPARTMENT OF INSURANCE" AND FAILURE TO PROVIDE BENEFICIARIES WITH A REASONABLE WRITTEN EXPLANATION OF DELAY OF CLAIM PAYMENT BEYOND 45 DAYS, AS REQUIRED BY SECTION 50 ILL. ADM. CODE 919.70(A)(2); AN… | Final | $18K |
| 2016-03-17 | regulatory | ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF NEW YORK INSURANCE LAWS. | Final | $18K |
| 2014-06-30 | regulatory | ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF CONNECTICUT INSURANCE LAWS | Final | $2K |
| City | State | Employees | Phone |
|---|---|---|---|
| REDWOOD SHORES | CA | 10 | 650-585-4100 |
| ST LOUIS | MO | 1 | 314-244-5000 |
| CHARLOTTE | NC | 1 | 650-585-4100 |