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James Burgess Conner

Tcw Investment Management Company LLC

Los Angeles, CA

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Current Employers
Tcw Investment Management Company Llc

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

Current Registrations

AuthorityCategoryStatusDate
MT RA APPROVED 2024-07-23
AK RA APPROVED 2024-07-19
OR RA APPROVED 2024-07-18
WA RA APPROVED 2024-07-18
MA RA APPROVED 2024-07-17
NV RA APPROVED 2024-07-17
NY RA APPROVED 2024-07-17
CA RA APPROVED 2024-06-28
ID RA APPROVED 2024-06-28
  • MT RA
    APPROVED
    Since 2024-07-23
  • AK RA
    APPROVED
    Since 2024-07-19
  • OR RA
    APPROVED
    Since 2024-07-18
  • WA RA
    APPROVED
    Since 2024-07-18
  • MA RA
    APPROVED
    Since 2024-07-17
  • NV RA
    APPROVED
    Since 2024-07-17
  • NY RA
    APPROVED
    Since 2024-07-17
  • CA RA
    APPROVED
    Since 2024-06-28
  • ID RA
    APPROVED
    Since 2024-06-28

Branch Locations

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
The Zoo Health Club Derry NH 11/2016 08/2018
University Of New Hampshire Durham NH 08/2019 07/2020
Unemployed Bear DE 06/2015 10/2016
Mercap Securities, Llc Paoli PA 02/2019 07/2020
Lovett Advisors, Llc Wilmington DE 02/2019 07/2020
Fleury Group, Llc Hampton Beach/Portsmouth NH 08/2018 06/2019
Natixis Investment Managers Boston MA 08/2020 05/2024
Tcw Funds Distributors Los Angeles CA 06/2024 Present
Tcw Llc Los Angeles CA 06/2024 Present
  • 11/2016 → 08/2018
    The Zoo Health Club
    Derry, NH
  • 08/2019 → 07/2020
    University Of New Hampshire
    Durham, NH
  • 06/2015 → 10/2016
    Unemployed
    Bear, DE
  • 02/2019 → 07/2020
    Mercap Securities, Llc
    Paoli, PA
  • 02/2019 → 07/2020
    Lovett Advisors, Llc
    Wilmington, DE
  • 08/2018 → 06/2019
    Fleury Group, Llc
    Hampton Beach/Portsmouth, NH
  • 08/2020 → 05/2024
    Natixis Investment Managers
    Boston, MA
  • 06/2024 → Present
    Tcw Funds Distributors
    Los Angeles, CA
  • 06/2024 → Present
    Tcw Llc
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-17
  • S66 Uniform Combined State Law Examination
    2019-07-17

View on SEC IAPD

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