Form MA/A TIAA-CREF Tuition Financ

May 24, 2022 6:54 AM EDT

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