CRD #20472 · FINRA BrokerCheck + SEC IAPD

Tiaa-Cref Individual & Institutional Services, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Tiaa-Cref Individual & Institutional Services, LLC ranks #592 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #68 of 868 on the same disclosure sort used on the state browse page. Tiaa-Cref Individual & Institutional Services, LLC carries 12 BrokerCheck disclosures across 1,831 branch offices - light load for a national firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
1,831
branch offices
12
disclosures
#592 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 20472 Tiaa-Cref Individual & Institutional Services, LLC

Tiaa-Cref Individual & Institutional Services, LLC · Grade B · 12 disc · 0.01/office · National firm

  • CRD 20472
  • GRADE B
  • DISC 12
  • REG 8
  • ARB 4
  • CIV 0
  • BRANCH 1,831
  • PER-OFF 0.01
  • RANK #592 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: Cambridge Investment Research, Inc. (0.01 disc/office)

Cambridge Investment Re…0.01MML Investors Services,…0.01Nylife Securities LLC0.01Tiaa-Cref Individua… (this)0.01
Disclosures per office among national firm peers (lower is cleaner)

Tiaa-Cref Individual & Institutional Services, LLC ranks #592 of 20,055 by disclosure count among graded broker-dealers; light load at 0.01 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

1,831 offices

FINRA: Large firm

Total disclosures

12 events

On FINRA BrokerCheck

Regulatory events

8 actions

67% of all disclosures

Disclosures per office

0.01 per office

12 ÷ 1,831 offices

Tiaa-Cref Individual & Institutional Services, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 98% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 8
Arbitrations 4
Civil Events 0
Total 12

Counts for Tiaa-Cref Individual & Institutional Services, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 8 Arbitration 4 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY
CRD Number
20472

Lower disclosures per office

Tiaa-Cref Individual & Institutional Services, LLC in the heavier-disclosure third

Tiaa-Cref Individual & Institutional Services, LLC carries 12 BrokerCheck disclosures across 1,831 branch offices - a heavier-third raw book among graded firms (#592 of 20,055). Regulator-initiated events are 67% of the book (8 regulatory / 4 arbitration / 0 civil).

Tiaa-Cref Individual & Institutional Services, LLC runs 0.01 disclosures per branch office (cleaner than 98% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Tiaa-Cref Individual & Institutional Services, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 1.37× state average

Tiaa-Cref Individual & Institutional Services, LLC sits above the New York disclosure average

Tiaa-Cref Individual & Institutional Services, LLC reports 12 BrokerCheck disclosures, 1.37× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Tiaa-Cref Individual & Institutional Services, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Tiaa-Cref Individual & Institutional Services, LLC ranks #592 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #68 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Tiaa-Cref Individual & Institutional Services, LLC?
A grade of B reflects Tiaa-Cref Individual & Institutional Services, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 12 total disclosures across 1,831 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Tiaa-Cref Individual & Institutional Services, LLC have?
Tiaa-Cref Individual & Institutional Services, LLC has 12 total FINRA disclosures, including 8 regulatory events, 4 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Tiaa-Cref Individual & Institutional Services, LLC?
Tiaa-Cref Individual & Institutional Services, LLC operates 1,831 branch offices and is classified by FINRA as a large firm, registered in NY (National firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Tiaa-Cref Individual & Institutional Services, LLC's disciplinary record?
You can verify Tiaa-Cref Individual & Institutional Services, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 20472. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Tiaa-Cref Individual & Institutional Services, LLC's 12 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Tiaa-Cref Individual & Institutional Services, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Tiaa-Cref Individual & Institutional Services, LLC carries 12 disclosures across 1,831 branch offices (about 0.01 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Tiaa-Cref Individual & Institutional Services, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Cambridge Investment Research, Inc. (IA) - 0.01 disclosures/office, nearest national firm peer to Tiaa-Cref Individual & Institutional Services, LLC's 0.01
  • MML Investors Services, LLC (MA) - 0.01 disclosures/office, nearest national firm peer to Tiaa-Cref Individual & Institutional Services, LLC's 0.01
  • Nylife Securities LLC (NY) - 0.01 disclosures/office, nearest national firm peer to Tiaa-Cref Individual & Institutional Services, LLC's 0.01
  • Firms in NY - state roster that includes Tiaa-Cref Individual & Institutional Services, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Tiaa-Cref Individual & Institutional Services, LLC.
  • Reading BrokerCheck Reports - How Tiaa-Cref Individual & Institutional Services, LLC's 0.01 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Tiaa-Cref Individual & Institutional Services, LLC.
  • Compare firms - put Tiaa-Cref Individual & Institutional Services, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.