Samantha Y. Tan
Professional summary
Samantha Yuting Tan is a registered financial professional currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in New York, New York and NUVEEN SECURITIES, LLC located in New York, New York.
Samantha is registered as a RR (Registered Representative) and started their career in finance in 2025. Samantha has worked at 2 firms and has passed the Series 99TO, Series 6TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samantha Yuting Tan's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 27, 2025 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 730 Third Avenue Nyc Hub, New York, NY 10017June 20, 2025 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 6/24/2025
Operations Professional ExaminationSeries 6TO
Date: 5/27/2025
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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