TIAA WEALTH MANAGEMENT LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 335081).
Compensation: % of AUM, Other.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Jeremy Ross Intihar | CHIEF COMPLIANCE OFFICER | — |
| Shankar Saravanan | PRESIDENT | — |
| 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 §33105(A) WHICH REQUIRES CARRIERS TO GIVE NOTICE TO THE MIA WITHIN THREE BUSINESS DAYS OF DETERMINING A CYBERSECURITY EV… | 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 |
| City | State | Employees | Phone |
|---|---|---|---|
| CHARLOTTE | NC | 0 | 704-988-1000 |
| WALTHAM | MA | 0 | (866) 904-7802 |