Douglas William Smith

Douglas William Smith is currently employed as a Broker and/or Investment Adviser at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located at 1835 MARKET STREET, SUITE 1600, PHILADELPHIA, PA, 19103-3272.

Douglas William Smith has worked at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC since March 30, 2018

Disclosure History

Douglas William Smith has 2 Disclosure Event(s).

Date: March 10, 2004
Category: Criminal
Charges: CLASS E FELONY POSSESSION OF MARIJUANA.
Disposition: Reduced
Amended Charges: CLASS A MISDEMEANOR POSSESSION OF MARIJUANA
Amended Charge Type: MISDEMEANOR Amended Charge
Amended Charge Disposition: Pled guilty

Date: December 18, 1998
Category: Criminal

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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