TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 20472). Regulatory assets under management: $37.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: Individuals, High net worth, Charities.
Showing 25 of 90 people.
| Name | Role | Location |
|---|---|---|
| Scott Lee | MEMBER | North Bend, WA |
| Lewis Lee | CHIEF LEGAL OFFICER | SPOKANE, WA |
| Scott B Lee | MEMBER | Orlando, FL |
| Lee Ross | CHIEF FINANCIAL OFFICER | Birmingham, AL |
| Scott Rhys Lee | MEMBER | Vancouver, A1 |
| brown edward charles | DIRECTOR | oakland, CA |
| Scott M Lee | MEMBER | San Mateo, CA |
| Niladri Mukherjee | BOARD MEMBER; ELECTED MANAGER | — |
| Ross Hamlet Abbott | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, ELECTED MANAGER; PRESIDENT, CEO (INTERIM), CHIEF OPERATING OFFICER, ELECTED MANAGER (+1 more) | — |
| Raymond John Bellucci | ELECTED MANAGER | — |
| Helen Gwyn Barnhill | CHIEF LEGAL OFFICER | — |
| Derek James Heaslip | BOARD MEMBER; ELECTED MANAGER | — |
| Benjamin Herbert Lewis | BOARD MEMBER; ELECTED MANAGER | — |
| Christopher Eugene Stickrod | BOARD MEMBER; ELECTED MANAGER | — |
| Jennifer Lynn Mangano | CHIEF FINANCIAL OFFICER | — |
| Jeremy Ross Intihar | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | — |
| Scott William Weinstein | CHIEF COMPLIANCE OFFICER - BROKER DEALER | — |
| Shankar Saravanan | VICE PRESIDENT, ELECTED MANAGER | — |
| Angela Marie Kahrmann | CHIEF EXECUTIVE OFFICER, ELECTED MANAGER; PRESIDENT, CHIEF EXECUTIVE OFFICER, ELECTED MANAGER | — |
| Rashmi Dilip Badwe | ELECTED MANAGER | — |
| SERLEN MARK LEONARD | SECRETARY | — |
| NOLAN FRANCES NMN | MANAGER, PRESIDENT & CEO; MEMBER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| LANE TIMOTHY EDWARD | SECOND VICE PRESIDENT | — |
| TIGNER NANCY ALICE | SECOND VICE PRESIDENT | — |
| VELLEKAMP ROGER ALAN | VICE PRESIDENT | — |
Showing 10 of 15 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-07-18 | regulatory | TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA ("TIAA") AND TIAA-CREF LIFE INSURANCE COMPANY ("TC LIFE") 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 THR… | Final | $3K |
| 2024-02-15 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, BETWEEN JUNE 30, 2020 AND NOVEMBER 1, 2021, TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC ("TCS") VIOLATED RULES 15L-1(A)(1) AND (2) UNDER THE EXCHANGE ACT (REGULATION BEST INTEREST) WHEN MAKING RECOMMENDATIONS TO CUSTOMERS TO OPEN TIAA AND IS IRA ACCO… | Final | $1.3M |
| 2023-11-28 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDING, ON OR ABOUT NOVEMBER 30, 2023, THE FIRM ENTERED INTO A SETTLEMENT WITH FINRA FOR FAILING TO REPORT PROMPTLY WRITTEN CUSTOMER COMPLAINTS INVOLVING ALLEGATIONS OF THEFT OR MISAPPROPRIATION OF FUNDS OR SECURITIES FROM AUGUST 2018 TO SEPTEMBER 2022. DURING THE S… | Final | $125K |
| 2023-09-25 | regulatory | STATE OF MAINE ALLEGES THAT BY FAILING TO CONDUCT ON-SITE BRANCH OFFICE INSPECTIONS OF ALL FIRM MAINE BRANCH OFFICES FOR THE 2022 CALENDAR YEAR, THE FIRM WAS IN VIOLATION OF MAINE OFFICE OF SECURITIES RULE CH. 504(7)(4)(B). DURING THE RELEVANT PERIOD, THE FIRM CONDUCTED VIRTUAL INSPECTIONS OF THEIR… | Final | $3K |
| 2021-07-13 | regulatory | TC SERVICES RESOLVED COORDINATED SEC AND NY AG INVESTIGATIONS ADDRESSING THE SAME UNDERLYING FACTS WITH: 1) AN SEC CEASE-AND-DESIST ORDER FINDING WILLFUL VIOLATIONS OF INVESTMENT ADVISERS ACT SECTIONS 206(2) AND 206(4), ADVISERS ACT RULE 206(4)-7, AND SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES… | Final | $97.0M |
| 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 |
| 2019-03-11 | regulatory | IA RELEASE 40-5129, MARCH 11, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC ("RESPONDENT"). ON THE BASIS OF THIS ORDER A… | Final | — |
| 2016-11-22 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT AS A RESULT OF TECHNOLOGICAL ERRORS AND IN ONE CASE AN AMBIGUOUS CLAUSE IN A VENDOR AGREEMENT, THE FIRM DID NOT MAKE TIMELY DELIVERY OF CUSTOMER CONFIRMATIONS FOR CERTAIN TYPES OF TRANSAC… | Final | $275K |
| 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 |