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515 South Flower Street, Los Angeles, CA 90071 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AK | RA | APPROVED | 2026-03-12 |
| WA | RA | APPROVED | 2026-03-12 |
| CA | RA | APPROVED | 2026-03-11 |
| ID | RA | APPROVED | 2026-03-11 |
| OR | RA | APPROVED | 2026-03-10 |
Branch Locations
515 South Flower Street, Los Angeles, CA 90071 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Lake Oswego | OR | 09/2016 | 02/2026 |
| Tcw Llc | Los Angeles | CA | 03/2026 | Present |
| Tcw Funds Distributors | Los Angeles | CA | 03/2026 | Present |
*582037 - Robert Miller; Investment related: No; West Linn, Oregon; Sale of personal collectibles; Sales (proprietor, partner, officer, director, employee, trustee, agent); 03/2024; During business hours: 0; After business hours: 1; Selling watches from personal collection *599636 - The 1916 Company - De Bethune; Investment related: No; Bala Cynwyd, Pennsylvania; Retail/Online Stores; Contractor(proprietor, partner, officer, director, employee, trustee, agent); 7/2024; During business hours: 0; After business hours: 4; Sales/Marketing -Leupold & Stevens: Investment Related : No, NY, NY, Nature of Business: Optics Manufacturing, Position/ Title: Shareholder .25% ownership, Start Date: 01/01/2024, Number of hours: 0 , number hours during trading hours: 0, shareholder in closely held family business -Wax Insurance: Investment Related: No, NYC, NY, Nature of Business: Collectible Insurance, Position / Title: Board Observer / Shareholder (less than .1%), Start Date: 01/01/2024, number of hours: 0 , number hours during trading hours: 0, board member
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-06-09 |
| S66 | Uniform Combined State Law Examination | 2016-12-14 |
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