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Current Employers
Tcw Investment Management Company Llc

515 South Flower Street, Los Angeles, CA 90071 • United States

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2025-05-27
AZ RA APPROVED 2025-05-23
NE RA APPROVED 2025-05-09
WV RA APPROVED 2025-05-08
VI RA APPROVED 2025-05-08
MA RA APPROVED 2025-05-07
NV RA APPROVED 2025-05-06
NM RA APPROVED 2025-05-05
ND RA APPROVED 2025-05-05
OH RA APPROVED 2025-05-05
OR RA APPROVED 2025-05-05
SD RA APPROVED 2025-05-05
UT RA APPROVED 2025-05-05
VT RA APPROVED 2025-05-05
AL RA APPROVED 2025-05-02
AK RA APPROVED 2025-05-02
AR RA APPROVED 2025-05-02
CA RA APPROVED 2025-05-02
CO RA APPROVED 2025-05-02
CT RA APPROVED 2025-05-02
DE RA APPROVED 2025-05-02
HI RA APPROVED 2025-05-02
ID RA APPROVED 2025-05-02
IL RA APPROVED 2025-05-02
IN RA APPROVED 2025-05-02
IA RA APPROVED 2025-05-02
KS RA APPROVED 2025-05-02
KY RA APPROVED 2025-05-02
LA RA APPROVED 2025-05-02
ME RA APPROVED 2025-05-02
MD RA APPROVED 2025-05-02
MI RA APPROVED 2025-05-02
MN RA APPROVED 2025-05-02
MS RA APPROVED 2025-05-02
MO RA APPROVED 2025-05-02
MT RA APPROVED 2025-05-02
NH RA APPROVED 2025-05-02
NJ RA APPROVED 2025-05-02
NY RA APPROVED 2025-05-02
NC RA APPROVED 2025-05-02
OK RA APPROVED 2025-05-02
PA RA APPROVED 2025-05-02
PR RA APPROVED 2025-05-02
RI RA APPROVED 2025-05-02
SC RA APPROVED 2025-05-02
TX RA APPROVED 2025-05-02
VA RA APPROVED 2025-05-02
WA RA APPROVED 2025-05-02
WI RA APPROVED 2025-05-02
WY RA APPROVED 2025-05-02
  • DC RA
    APPROVED
    Since 2025-05-27
  • AZ RA
    APPROVED
    Since 2025-05-23
  • NE RA
    APPROVED
    Since 2025-05-09
  • WV RA
    APPROVED
    Since 2025-05-08
  • VI RA
    APPROVED
    Since 2025-05-08
  • MA RA
    APPROVED
    Since 2025-05-07
  • NV RA
    APPROVED
    Since 2025-05-06
  • NM RA
    APPROVED
    Since 2025-05-05
  • ND RA
    APPROVED
    Since 2025-05-05
  • OH RA
    APPROVED
    Since 2025-05-05
  • OR RA
    APPROVED
    Since 2025-05-05
  • SD RA
    APPROVED
    Since 2025-05-05
  • UT RA
    APPROVED
    Since 2025-05-05
  • VT RA
    APPROVED
    Since 2025-05-05
  • AL RA
    APPROVED
    Since 2025-05-02
  • AK RA
    APPROVED
    Since 2025-05-02
  • AR RA
    APPROVED
    Since 2025-05-02
  • CA RA
    APPROVED
    Since 2025-05-02
  • CO RA
    APPROVED
    Since 2025-05-02
  • CT RA
    APPROVED
    Since 2025-05-02
  • DE RA
    APPROVED
    Since 2025-05-02
  • HI RA
    APPROVED
    Since 2025-05-02
  • ID RA
    APPROVED
    Since 2025-05-02
  • IL RA
    APPROVED
    Since 2025-05-02
  • IN RA
    APPROVED
    Since 2025-05-02
  • IA RA
    APPROVED
    Since 2025-05-02
  • KS RA
    APPROVED
    Since 2025-05-02
  • KY RA
    APPROVED
    Since 2025-05-02
  • LA RA
    APPROVED
    Since 2025-05-02
  • ME RA
    APPROVED
    Since 2025-05-02
  • MD RA
    APPROVED
    Since 2025-05-02
  • MI RA
    APPROVED
    Since 2025-05-02
  • MN RA
    APPROVED
    Since 2025-05-02
  • MS RA
    APPROVED
    Since 2025-05-02
  • MO RA
    APPROVED
    Since 2025-05-02
  • MT RA
    APPROVED
    Since 2025-05-02
  • NH RA
    APPROVED
    Since 2025-05-02
  • NJ RA
    APPROVED
    Since 2025-05-02
  • NY RA
    APPROVED
    Since 2025-05-02
  • NC RA
    APPROVED
    Since 2025-05-02
  • OK RA
    APPROVED
    Since 2025-05-02
  • PA RA
    APPROVED
    Since 2025-05-02
  • PR RA
    APPROVED
    Since 2025-05-02
  • RI RA
    APPROVED
    Since 2025-05-02
  • SC RA
    APPROVED
    Since 2025-05-02
  • TX RA
    APPROVED
    Since 2025-05-02
  • VA RA
    APPROVED
    Since 2025-05-02
  • WA RA
    APPROVED
    Since 2025-05-02
  • WI RA
    APPROVED
    Since 2025-05-02
  • WY RA
    APPROVED
    Since 2025-05-02

Branch Locations

1251 Avenue Of The Americas, Suite 4700, New York, NY 10020 • United States

515 South Flower Street, Los Angeles, CA 90071 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Neuberger Berman Llc New York NY 01/2015 03/2025
Tcw Llc Los Angeles CA 04/2025 Present
Tcw Funds Distributors Los Angeles CA 04/2025 Present
Tcw Investment Management Company, Llc Los Angeles CA 04/2025 Present
  • 01/2015 → 03/2025
    Neuberger Berman Llc
    New York, NY
  • 04/2025 → Present
    Tcw Llc
    Los Angeles, CA
  • 04/2025 → Present
    Tcw Funds Distributors
    Los Angeles, CA
  • 04/2025 → Present
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-02-04
S63 Uniform Securities Agent State Law Examination 2013-07-25
  • S65 Uniform Investment Adviser Law Examination
    2015-02-04
  • S63 Uniform Securities Agent State Law Examination
    2013-07-25
Designations

View on SEC IAPD

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