David B. Lippman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Brian Lippman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2010 - January 9, 2023
TCW FUNDS DISTRIBUTORS LLC
January 3, 2005 - December 9, 2010
MWAM DISTRIBUTORS, LLC
July 22, 2003 - December 31, 2004
FORESIDE FUNDS DISTRIBUTORS LLC
November 3, 2000 - August 30, 2001
PERSHING LLC
October 16, 2000 - August 30, 2001
CREDIT SUISSE SECURITIES (USA) LLC
August 26, 1992 - October 16, 2000
PERSHING LLC
March 16, 1990 - September 3, 1992
KIDDER, PEABODY & CO. INCORPORATED
July 28, 1987 - March 12, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
October 22, 1985 - March 12, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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