DR
David I. Robbins
TCW FUNDS DISTRIBUTORS LLC
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 1396388
DR
Professional summary
David Ira Robbins is a registered financial professional currently at TCW FUNDS DISTRIBUTORS LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1985. David has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Ira Robbins's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 6, 2001 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 1251 Avenue Of The Americas Suite 4700, New York, NY 10020BD
CRD#: 16670
NEW YORK, NY
Past
September 5, 1996 - March 4, 1999
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 1, 1991 - June 18, 1996
MORGAN STANLEY MARKET PRODUCTS INC.
BD
CRD#: 19794
NEW YORK, NY
Past
April 23, 1990 - June 18, 1996
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
August 20, 1985 - September 5, 1989
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/7/2011)
RR
Alaska(12/7/2011)
RR
Arizona(12/7/2011)
RR
Arkansas(12/7/2011)
RR
California(12/7/2011)
RR
Colorado(12/7/2011)
RR
Connecticut(12/7/2011)
RR
Delaware(12/7/2011)
RR
District of Columbia(12/7/2011)
RR
Florida(12/7/2011)
RR
Georgia(12/7/2011)
RR
Hawaii(12/7/2011)
RR
Idaho(12/7/2011)
RR
Illinois(12/7/2011)
RR
Indiana(12/7/2011)
RR
Iowa(12/7/2011)
RR
Kansas(12/7/2011)
RR
Kentucky(12/7/2011)
RR
Louisiana(12/7/2011)
RR
Maine(12/7/2011)
RR
Maryland(12/7/2011)
RR
Massachusetts(12/7/2011)
RR
Michigan(12/7/2011)
RR
Minnesota(12/7/2011)
RR
Mississippi(12/7/2011)
RR
Missouri(12/7/2011)
RR
Montana(12/7/2011)
RR
Nebraska(12/7/2011)
RR
Nevada(12/7/2011)
RR
New Hampshire(12/7/2011)
RR
New Jersey(12/7/2011)
RR
New Mexico(12/7/2011)
RR
New York(2/6/2001)
RR
North Carolina(12/8/2011)
RR
North Dakota(12/7/2011)
RR
Ohio(12/8/2011)
RR
Oklahoma(12/7/2011)
RR
Oregon(12/7/2011)
RR
Pennsylvania(12/7/2011)
RR
Puerto Rico(12/7/2011)
RR
Rhode Island(12/7/2011)
RR
South Carolina(12/7/2011)
RR
South Dakota(12/7/2011)
RR
Tennessee(12/7/2011)
RR
Texas(12/7/2011)
RR
Utah(12/7/2011)
RR
Vermont(12/7/2011)
RR
Virgin Islands(12/7/2011)
RR
Virginia(12/7/2011)
RR
Washington(12/7/2011)
RR
West Virginia(12/7/2011)
RR
Wisconsin(12/7/2011)
RR
Wyoming(12/7/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TCW FUNDS DISTRIBUTORS LLC
KENTER SECURITIES CORPORATION | TCW FUNDS DISTRIBUTORS LLC | TCW FUNDS DISTRIBUTORS | TCW BROKERAGE SERVICES
CRD#: 16670 / SEC#: , 8-31114
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
515 South Flower Street, Los Angeles, CA 90071
Mailing Address
515 South Flower Street, Los Angeles, CA 90071
Phone number
(213) 244-0000
Established
Delaware since 04/01/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
