Jess M. Ravich
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.
Jess Marshall Ravich, who also goes by Jess Ravich, was a registered financial professional .
Jess is a previously registered financial professional and started their career in finance in 1986. Jess had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2013 - July 10, 2019
TCW FUNDS DISTRIBUTORS LLC
November 6, 2009 - December 19, 2012
HOULIHAN LOKEY CAPITAL, INC.
January 2, 2009 - October 30, 2009
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
January 2, 2002 - February 23, 2009
LIBRA SECURITIES, LLC
January 4, 1999 - December 31, 2001
U.S. BANCORP INVESTMENTS, INC.
May 9, 1991 - January 4, 1999
LIBRA INVESTMENTS, INC.
March 7, 1990 - March 25, 1991
JEFFERIES LLC
November 18, 1986 - March 5, 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
Series 55
Date: 4/26/2000
Limited Representative-Equity Trader ExamCurrent 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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