William T. Lloyd
Professional summary
William Thomas Lloyd IV, who also goes by William Thomas Lloyd, is a registered financial professional currently at TCW FUNDS DISTRIBUTORS LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 1987. William has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 16 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Thomas Lloyd IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 2, 2014 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 1251 Avenue Of The Americas Suite 4700, New York, NY 10020August 24, 2010 - October 3, 2014
VLS SECURITIES LLC
April 18, 1997 - June 10, 2003
BARCLAYS CAPITAL INC.
November 3, 1992 - April 25, 1997
CREDIT SUISSE SECURITIES (USA) LLC
May 14, 1988 - July 11, 1988
LEHMAN BROTHERS INC.
February 24, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2016)
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(1/6/2015)
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(11/17/2016)
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(11/2/2023)
(1/6/2015)
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(9/18/2023)
(1/6/2015)
(11/17/2016)
(10/2/2014)
(3/27/2015)
(1/7/2016)
(2/4/2016)
(1/6/2016)
(11/17/2016)
(11/21/2017)
(1/6/2016)
(11/21/2017)
(1/6/2015)
Exams
FINRA
Current Firm
TCW FUNDS DISTRIBUTORS LLC
CRD#: 16670 / SEC#: , 8-31114
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE TCW GROUP, INC. | SOLE SHAREHOLDER | |
| CAMPBELL, ROBERT NMN | FINANCIAL REPORTING DIRECTOR/FINOP | 1349154 |
| CARIERI, JOSEPH CARL | MANAGER | 1223713 |
| MAGPAYO, JOSEPH T | CHAIRMAN OF THE BOARD, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 2295294 |
| MCCARTHY, GINA | MANAGER | 4226460 |
| VILLA, RICHARD MANUEL | CHIEF FINANCIAL OFFICER OF THE TCW GROUP, INC. | 5586600 |
| WERTS, FELICIA PAN | CHIEF COMPLIANCE OFFICER & SECRETARY | 6562508 |
Red Flags
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