Kevin Spence


Compliance Director

TIAA


Kevin Spence is a Director of Compliance with TIAA overseeing regulatory compliance across Individual and Wealth Management broker dealer and investment advisory businesses. Prior to TIAA, Kevin served as the Chief Compliance Officer for Cary Street Partners (a registered broker dealer, investment and asset manager).  Prior hereto, Kevin spent over 20 years serving in various Compliance leadership roles at broker-dealers and investment advisers such as HSBC and Wells Fargo Advisors.  Kevin obtained his Juris Doctorate from Saint Louis University School of Law and is a member of the District of Columbia Bar Association.  He currently holds the Series 7, 9/10, 24 and 66 licenses and is a FINRA certified arbitrator as well as a member of the FINRA Complaints Initiative Committee.  Additionally, Kevin maintains both the Investment Adviser Certified Compliance Professional® (IACCP®) and the Certified Securities Compliance Professional (CSCP) designations.


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