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Current Employers
Tcw Investment Management Company Llc

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

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2025-07-01
DC RA APPROVED 2025-07-01
MD RA APPROVED 2025-07-01
PA RA APPROVED 2025-07-01
VA RA APPROVED 2025-07-01
NJ RA APPROVED 2025-06-30
SC RA APPROVED 2025-02-05
NH RA APPROVED 2025-02-03
CT RA APPROVED 2025-01-31
ME RA APPROVED 2025-01-31
NC RA APPROVED 2025-01-31
RI RA APPROVED 2025-01-31
VT RA APPROVED 2025-01-31
AZ RA APPROVED 2024-09-11
ND RA APPROVED 2024-09-03
CO RA APPROVED 2024-08-27
NM RA APPROVED 2024-08-27
SD RA APPROVED 2024-08-27
UT RA APPROVED 2024-08-27
IL RA APPROVED 2024-05-08
LA RA APPROVED 2024-05-08
NY RA APPROVED 2024-05-08
AR RA APPROVED 2024-05-07
WI RA APPROVED 2024-05-06
KY RA APPROVED 2024-05-03
MA RA APPROVED 2024-05-01
MN RA APPROVED 2024-05-01
OK RA APPROVED 2024-05-01
IA RA APPROVED 2024-03-22
MI RA APPROVED 2024-03-22
IN RA APPROVED 2024-03-21
KS RA APPROVED 2024-03-21
NE RA APPROVED 2024-03-21
CA RA APPROVED 2024-03-20
MO RA APPROVED 2024-03-20
OH RA APPROVED 2024-03-20
TX RA APPROVED_RES 2024-03-20
  • DE RA
    APPROVED
    Since 2025-07-01
  • DC RA
    APPROVED
    Since 2025-07-01
  • MD RA
    APPROVED
    Since 2025-07-01
  • PA RA
    APPROVED
    Since 2025-07-01
  • VA RA
    APPROVED
    Since 2025-07-01
  • NJ RA
    APPROVED
    Since 2025-06-30
  • SC RA
    APPROVED
    Since 2025-02-05
  • NH RA
    APPROVED
    Since 2025-02-03
  • CT RA
    APPROVED
    Since 2025-01-31
  • ME RA
    APPROVED
    Since 2025-01-31
  • NC RA
    APPROVED
    Since 2025-01-31
  • RI RA
    APPROVED
    Since 2025-01-31
  • VT RA
    APPROVED
    Since 2025-01-31
  • AZ RA
    APPROVED
    Since 2024-09-11
  • ND RA
    APPROVED
    Since 2024-09-03
  • CO RA
    APPROVED
    Since 2024-08-27
  • NM RA
    APPROVED
    Since 2024-08-27
  • SD RA
    APPROVED
    Since 2024-08-27
  • UT RA
    APPROVED
    Since 2024-08-27
  • IL RA
    APPROVED
    Since 2024-05-08
  • LA RA
    APPROVED
    Since 2024-05-08
  • NY RA
    APPROVED
    Since 2024-05-08
  • AR RA
    APPROVED
    Since 2024-05-07
  • WI RA
    APPROVED
    Since 2024-05-06
  • KY RA
    APPROVED
    Since 2024-05-03
  • MA RA
    APPROVED
    Since 2024-05-01
  • MN RA
    APPROVED
    Since 2024-05-01
  • OK RA
    APPROVED
    Since 2024-05-01
  • IA RA
    APPROVED
    Since 2024-03-22
  • MI RA
    APPROVED
    Since 2024-03-22
  • IN RA
    APPROVED
    Since 2024-03-21
  • KS RA
    APPROVED
    Since 2024-03-21
  • NE RA
    APPROVED
    Since 2024-03-21
  • CA RA
    APPROVED
    Since 2024-03-20
  • MO RA
    APPROVED
    Since 2024-03-20
  • OH RA
    APPROVED
    Since 2024-03-20
  • TX RA
    APPROVED_RES
    Since 2024-03-20

Branch Locations

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

The John Hancock Tower 200 Clarendon St 51St Floor, Boston, MA 02116 • 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
Putnam Retail Management Andover/Boston MA 01/2016 01/2024
Tcw Llc Los Angeles CA 03/2024 Present
Tcw Funds Distributors Los Angeles CA 03/2024 Present
  • 01/2016 → 01/2024
    Putnam Retail Management
    Andover/Boston, MA
  • 03/2024 → Present
    Tcw Llc
    Los Angeles, CA
  • 03/2024 → Present
    Tcw Funds Distributors
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-08-25
S63 Uniform Securities Agent State Law Examination 2016-05-04
  • S65 Uniform Investment Adviser Law Examination
    2021-08-25
  • S63 Uniform Securities Agent State Law Examination
    2016-05-04
Other Names
  • Kelly Jean Corey

View on SEC IAPD

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