Form MA/A TIAA-CREF Tuition Financ

  
    MA/A
    
      
        0001627236
        XXXXXXXX
      
      
        Lori Sellers
        704-988-3565
      
      [email protected]
      
        [email protected]
      
    
  
  
    TIAA-CREF Tuition Financing, Inc.
    108580
    13-4026557
    
      
        
          867-01373
        
        
          
            
              
                801-56817
                108580
              
            
          
        
      
    
    
      
        
          730 THIRD AVENUE
          NEW YORK
          NY
          10017-3206
        
      
      212-916-4724
      212-916-4888
    
    Y
    
      
        8500 Andrew Carnegie Blvd.
        SSC/C2/08
        Charlotte
        NC
        28262
      
    
    
      
        Sean
        M
        Flynn
      
      
        
      
      

        
          8500 Andrew Carnegie Blvd.
          SSC/C2/08
          Charlotte
          NC
          28262
        
      
      704-988-0195
      704-988-1615
      [email protected]
    
    
      
        Lori
        S
        Sellers
      
      
        
      
      

        
          8500 Andrew Carnegie Blvd.
          SSC/C2/08
          Charlotte
          NC
          28262
        
      
      704-988-3565
      704-595-5540
      [email protected]
    
    
      
        
          Add
        
        Southern Service Center
        
          
            
              8500 Andrew Carnegie Blvd.
              Charlotte
              NC
              28262
            
          
          704-988-1000
          704-988-1470
        
        
          
        
        Correspondence or other documents related to the operation of qualified tuition programs.
      
      
        
          Add
        
        State Street Bank and Trust Company
        
          
            
              1776 Heritage Drive
              N. Quincy
              MA
              02171
            
          
          617-985-8928
          617-985-8928
        
        
          
        
        Cash trial balances, documenting purchases and sales, recording of income, making cash disbursements and reporting of cash transactions for the various investment options for each qualified tuition program.
      
      
        
          Add
        
        BONY Mellon Asset Servicing
        
          
            
              135 Santilli Highway
              Everett
              MA
              02149
            
          
          6177227000
        
        
          
        
        Cash trial balances, documenting purchases and sales, recording of income, making cash disbursements and reporting of cash transactions for the various investment options for each qualified tuition program.
      
    
    
      
        Teachers Insurance and Annuity Association of America
        Y
        
          New York Department of Financial Services
          NAIC# 69345
          
            NY
          
        
      
      
        TIAA-CREF Asset Management LLC
        N
      
    
    
      
        
          
        
      
    
    December
    
      DE
    
    09-25-1998
    N
    41
    3
    2
    3
    0
    7
    
      
        Municipal Entities
      
    
    0
    0
    0
    
      
        Not Applicable
      
    
    
      
        Other
      
      For all services applicant provides to each qualified tuition program, applicant receives an annualized asset-based fee from program assets calculated and accrued daily and payable monthly in arrears.
    
    
      
        Not Applicable
      
    
    
      
        Other
      
      Service provider to state 529 plans
    
    
      
        Y
      
    
    Y
    TIAA-CREF Tuition Financing. Inc. provides or subcontracts to others to provide services to qualified tuition programs on behalf of state sponsors: recordkeeping and processing of account owner transaction requests, unit value calculations, federal tax reporting, and certain administrative services.
    
      Broker-dealer municipal securities dealer or government securities broker or dealer
      Investment Company
      Investment Adviser
      Commodity pool operator
      Commodity trading advisor
      Banking/Thrift institution
      Trust Company
      Insurance company or agency
      Real estate broker or dealer
      Sponsor or syndicator of limited partnerships
    
    17
    
      
        
          Add
        
        
          Investment Adviser
        
        TIAA-CREF Investment Management LLC
        TIAA-CREF Investment Management LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
        
        Teachers Advisors, LLC
        Teachers Advisors, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Broker-dealer municipal securities dealer or government securities broker or dealer
          Investment Adviser
        
        TIAA-CREF Individual & Institutional Services, LLC
        Advice and Planning Services
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
        
        Nuveen Alternatives Advisors, LLC
        Nuveen Alternatives Advisors, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        Teachers Insurance and Annuity Association of America
        Teachers Insurance and Annuity Association of America
        
          Y
          Y
          N
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        TIAA-CREF Insurance Agency, LLC
        TIAA-CREF Insurance Agency, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Banking/Thrift institution
        
        TIAA, FSB
        TIAA, FSB
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        TIAA-CREF Life Insurance Company
        TIAA-CREF Life Insurance Company
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
        
        Nuveen Management AIMF Limited
        Nuveen Management AIMF Limited
        
          N
          Y
          Y
          
            
              UNITED KINGDOM - FINANCIAL CONDUCT AUTHORITY
              X0
            
          
        
      
      
        
          Add
        
        
          Investment Adviser
        
        Nuveen Investment Management International Limited
        Nuveen Investment Management International Limited
        
          N
          Y
          Y
          
            
              UNITED KINGDOM - FINANCIAL CONDUCT AUTHORITY
              X0
            
          
        
      
      
        
          Add
        
        
          Investment Adviser
        
        Churchill Asset Management LLC
        Churchill Asset Management LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
          Commodity pool operator
          Commodity trading advisor
          Pension consultant
        
        Nuveen Asset Management, LLC
        Nuveen Asset Management, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
          Commodity pool operator
        
        Nuveen Fund Advisors, LLC
        Nuveen Fund Advisors, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Broker-dealer municipal securities dealer or government securities broker or dealer
        
        Nuveen Securities, LLC
        Nuveen Securities, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
        
        Nuveen Churchill Advisors
        Nuveen Churchill Advisors
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Real estate broker or dealer
        
        Westchester Group Investment Management, Inc.
        Westchester Group Investment Management, Inc.
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
        
        TIAA KASPICK, LLC
        TIAA KASPICK, LLC
        
          N
          Y
          N
        
      
    
    
      N
      N
      N
      Y
      Y
      N
      N
      N
      N
      N
      N
      N
      N
    
    4.A.: Technically, all personnel performing services for applicant are employees of Teachers Insurance and Annuity Association of America ("TIAA"), but for purposes of this Form MA, we assumed that the employees were employees of applicant.

4.I.(5).: For the services applicant provides to each qualified tuition program (services include investment advisory services), applicant receives an annualized asset-based fee from program assets calculated and accrued daily and payable monthly in arrears.

8.A. (1) (a), Schedule B-1: There are no individuals who own at least a 25% interest in the TIAA Board of Overseers.
    
      
        N
        N
        N
        N
      
      
        Y
        Y
        N
        Y
        Y
        Y
        Y
        N
        Y
        Y
        N
        N
        N
        N
        N
        N
      
      
        N
        N
        N
        N
      
    
    N
    Y
    
      
        
          Teachers Insurance and Annuity Association of America
          N
          
            
          
          13-1624203
          
            Shareholder
            03-01-2015
            E
            Y
          
        
      
      
        
          
            Christopher
            Shields
            Lynch
          
          
            President and Director
            10-06-2016
            NA
            Y
            1985050
          
        
        
          
            Sean
            M
            Flynn
          
          
            Chief Compliance Officer
            12-31-2019
            NA
            Y
            2790159
          
        
        
          
            Craig
            Spencer
            Parkin
          
          
            Director
            01-01-2021
            NA
            Y
            3066538
          
        
        
          
            Jeffrey
            Denns
            Carlin
          
          
            Director
            01-01-2021
            NA
            Y
            2684780
          
        
        
          
            Angela
            Marie
            Kharmann
          
          
            Director
            01-01-2021
            NA
            Y
            1879256
          
        
        
          
            William
            Gunnar
            Greisser
          
          
            Director
            01-01-2021
            NA
            Y
            2492486
          
        
        
          
            Mohammad
            Ali
            Iqbal
          
          
            Director
            03-01-2022
            NA
            Y
            7297677
          
        
      
    
    
      
        
          Teachers Insurance and Annuity Association of America
          
            TIAA Board of Governors
            N
            
              
            
            13-6110585
            
              Shareholder
              09-01-1998
              E
              Y
            
          
        
      
    
    
      
        
          
            Teachers Insurance and Annuity Association of America
            N
            
              
            
            13-1624203
            
              Shareholder
              03-01-2015
              E
              Y
            
          
        
      
      
        
          
            
              Christopher
              Shields
              Lynch
            
            
              President and Director
              10-06-2016
              NA
              Y
              1985050
            
          
        
        
          
            
              Sean
              M
              Flynn
            
            
              Chief Compliance Officer
              12-31-2019
              NA
              Y
              2790159
            
          
        
        
          
            
              Craig
              Spencer
              Parkin
            
            
              Director
              01-01-2021
              NA
              Y
              3066538
            
          
        
        
          
            
              Jeffrey
              Denns
              Carlin
            
            
              Director
              01-01-2021
              NA
              Y
              2684780
            
          
        
        
          
            
              Angela
              Marie
              Kharmann
            
            
              Director
              01-01-2021
              NA
              Y
              1879256
            
          
        
        
          
            Delete
          
          
            
              William
              Gunnar
              Greisser
            
            
              Director
              01-01-2021
              NA
              N
              2492486
            
          
        
        
          
            
              Mohammad
              Ali
              Iqbal
            
            
              Director
              03-01-2022
              NA
              Y
              7297677
            
          
        
      
      
        
          
            Teachers Insurance and Annuity Association of America
            
              TIAA Board of Governors
              N
              
                
              
              13-6110585
              
                Shareholder
                09-01-1998
                E
                Y
              
            
          
        
      
    
    
      
        
          
            
              
                
              
              1
              
                
              
            
            
              9-D2
              9-D4
            
          
          
            
              
                Teachers Insurance and Annuity Association of America
              
              
                N
              
              
                
                  
                    TIAA-CREF Individual & Institutional Services, LLC
                    20472
                    1405333
                  
                
              
            
          
        
        
          
            
              
                
              
              1
              
                
              
            
            
              9-D2
              9-D4
            
          
          
            
              
                Teachers Insurance and Annuity Association of America (TIAA)
              
              
                N
              
              
                
                  
                    TIAA-CREF Tuition Financing, Inc.
                    108580
                    132458
                  
                
              
            
          
        
        
          
            
              
                
              
              1
              
                
              
            
            
              9-D1
              9-D2
              9-D4
              9-D5
            
          
          
            
              
                TIAA-CREF Individual & Institutional Services, LLC
              
              
                Y
                801-63550
              
              
                
                  
                    TIAA-CREF Individual & Institutional Services, LLC
                    20472
                    2145889
                  
                
              
            
          
        
        
          
            
              
                
              
              1
              
                
              
            
            
              9-C1
              9-C2
              9-C4
              9-C5
            
          
          
            
              
                TIAA-CREF Individual & Institutional Services, LLC
              
              
                Y
                801-63550
              
              
                
                  
                    TIAA-CREF Individual & Institutional Services, LLC
                    20472
                    2140841
                  
                
              
            
          
        
      
    
    
      
        SMFlynn
        Sean
        Flynn
        05-19-2022
      
      20472
    
    
      N
      N
      N
      N
      N
      N
      N
      N
      Y
      N
      Y
      N
      Y
      N
      N
      N
      N
      N
      Y
      N
      Y
    
  

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