Lori A. Gilchrist

TCW INVESTMENT MANAGEMENT COMPANY LLC

Los Angeles, CA 90071

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CRD#: 2115781

Professional summary

Lori Ann Gilchrist, who also goes by Lori A Gilchrist, Lori Gilchrist, 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.

Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Lori has worked at 9 firms and has passed the Series 65, Series 66, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lori A Gilchrist | Lori Gilchrist

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Ann Gilchrist's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 24, 2016 - Present

TCW INVESTMENT MANAGEMENT COMPANY LLC

Office #1: 515 South Flower Street, Los Angeles, CA 90071

RIA

CRD#: 106546

Los Angeles, CA

Current

May 26, 2016 - Present

TCW FUNDS DISTRIBUTORS LLC

Office #1: 515 South Flower Street, Los Angeles, CA 90071

CRD#: 16670

Los Angeles, CA

Past

June 20, 2012 - November 24, 2015

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MINNEAPOLIS, MN

Past

April 13, 2012 - November 24, 2015

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

May 9, 2007 - April 15, 2010

DFA SECURITIES LLC

CRD#: 10292

SANTA MONICA, CA

Past

June 17, 2003 - May 7, 2007

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SANTA MONICA, CA

Past

June 26, 2000 - May 7, 2007

SECURITIES AMERICA, INC.

CRD#: 10205

SANTA MONICA, CA

Past

June 27, 1996 - August 15, 1996

ASB FINANCIAL SERVICES

CRD#: 24280

IRVINE, CA

Past

December 6, 1994 - June 27, 1996

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

September 19, 1991 - November 25, 1994

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, 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".

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.

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

IAR

California
(5/24/2016)

California
(5/26/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/19/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/12/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/9/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/12/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 11/9/2000

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/7/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TIMCO - FORM ADV PART 2A - FILE COPY - 03.28.2025 (3/28/2025)

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.

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Firm Stability Insights

Lori A. Gilchrist

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Ann Gilchrist's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCW FUNDS DISTRIBUTORS LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

DFA SECURITIES LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

ASB FINANCIAL SERVICES

GRIFFIN FINANCIAL SERVICES

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

TCW INVESTMENT MANAGEMENT COMPANY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/19/2012

Series 66

Date: 10/12/2000

Series 63

Date: 1/9/1995

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/18/1991

Series 4

Date: 6/12/2001

Series 53

Date: 11/9/2000

Series 24

Date: 3/7/1995

FINRA

Current Firm

TCW INVESTMENT MANAGEMENT COMPANY LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TCW INVESTMENT MANAGEMENT COMPANY LLC

TRUST BUT VERIFY

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