MR
Mark A. Romano
TCW INVESTMENT MANAGEMENT COMPANY LLC
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 1566368
MR
Professional summary
Mark Anthony Romano, CFA, who also goes by Mark Romano, is a registered financial advisor currently at TCW INVESTMENT MANAGEMENT COMPANY LLC located in Los Angeles, California and TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 22, Series 6, Series 3 and Series 2 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Romano
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) - RIA
Click below to view Mark Anthony Romano'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®
Experience
Current
March 3, 2021 - Present
TCW INVESTMENT MANAGEMENT COMPANY LLC
Office #1: 515 South Flower Street, Los Angeles, CA 90071RIA
CRD#: 106546
Los Angeles, CA
Current
March 2, 2021 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 515 South Flower Street, Los Angeles, CA 90071BD
CRD#: 16670
Los Angeles, CA
Past
February 14, 2011 - July 10, 2020
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
Past
March 5, 1998 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TI
TCW INVESTMENT MANAGEMENT COMPANY LLC
TCW INVESTMENT MANAGEMENT CO | TCW INVESTMENT MANAGEMENT COMPANY LLC
CRD#: 106546 / SEC#: 801-29075
RIA
Registered Investment Advisory firm - (2/18/1987 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(5/14/2021)
RR
Alaska(5/14/2021)
RR
Arizona(5/14/2021)
RR
Arkansas(5/14/2021)
RR
California(3/2/2021)
IAR
California(3/3/2021)
RR
Colorado(5/14/2021)
RR
Connecticut(5/14/2021)
RR
Delaware(5/14/2021)
RR
District of Columbia(5/14/2021)
RR
Florida(5/14/2021)
RR
Georgia(5/14/2021)
RR
Hawaii(5/14/2021)
RR
Idaho(5/14/2021)
RR
Illinois(5/14/2021)
RR
Indiana(5/14/2021)
RR
Iowa(5/14/2021)
RR
Kansas(5/14/2021)
RR
Kentucky(5/14/2021)
RR
Louisiana(5/14/2021)
RR
Maine(5/14/2021)
RR
Maryland(5/14/2021)
RR
Massachusetts(5/14/2021)
RR
Michigan(5/14/2021)
RR
Minnesota(5/14/2021)
RR
Mississippi(5/14/2021)
RR
Missouri(5/14/2021)
RR
Montana(5/14/2021)
RR
Nebraska(5/14/2021)
RR
Nevada(5/14/2021)
RR
New Hampshire(5/14/2021)
RR
New Jersey(5/14/2021)
RR
New Mexico(5/14/2021)
RR
New York(5/14/2021)
RR
North Carolina(5/14/2021)
RR
North Dakota(5/14/2021)
RR
Ohio(5/16/2021)
RR
Oklahoma(5/14/2021)
RR
Oregon(5/14/2021)
RR
Pennsylvania(5/14/2021)
RR
Rhode Island(5/14/2021)
RR
South Carolina(5/14/2021)
RR
South Dakota(5/14/2021)
RR
Tennessee(5/14/2021)
RR
Texas(5/14/2021)
RR
Utah(5/14/2021)
RR
Vermont(5/14/2021)
RR
Virginia(5/14/2021)
RR
Washington(5/14/2021)
RR
West Virginia(5/14/2021)
RR
Wisconsin(5/14/2021)
RR
Wyoming(5/14/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 9/10/1986
Non-Member General Securities ExaminationSRO Registrations
RR
FINRA
Current Firm
TI
TCW INVESTMENT MANAGEMENT COMPANY LLC
TCW INVESTMENT MANAGEMENT CO | TCW INVESTMENT MANAGEMENT COMPANY LLC
CRD#: 106546 / SEC#: 801-29075
RIA
Registered Investment Advisory firm - (2/18/1987 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
515 South Flower Street, Los Angeles, CA 90071
Mailing Address
Phone number
(213) 244-0000
Established
Firm type
Fiscal year end
# of Employees
419
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,758 |
| AUM (Assets Under Management) | $ 40,149,916,771 |
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.
