Dawn M. Wright

Some features on this profile are disabled

CRD#: 2153208

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.

Dawn Marie Wright was a registered financial professional .

Dawn is a previously registered financial professional and started their career in finance in 1994. Dawn had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Sweetwater Condominium HOA Board Member. Not investment related. 225 Stanley Ave, Mamaroneck, NY 10543. Nature of business: HOA Board member Title/position: Board member Start date: 11/01/2020. 2 hours/month, 0 hours during securities trading hours. Duties: Represent condo owners to building management, work with building management company. ----------- Trickle Up - 104 W. 27th Street, 12th Floor New York, NY 10001 Title/Position: Board Member, no relationship to other business Nature of Business: The goal is create opportunities for the world's poorest and most vulnerable by training them to start and run a profitable business so they can feed their families and save for the future. Start Date: 10/28/2020 Duties: No specific duties currently, Work with the Board to run and promote the organization. 3 hours/month, 0 hours during trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 16, 2008 - December 11, 2023

TCW INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 106546

New York, NY

Past

June 20, 2007 - December 11, 2023

TCW FUNDS DISTRIBUTORS LLC

CRD#: 16670

NEW YORK, NY

Past

May 14, 2002 - June 8, 2007

ING INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 21644

NEW YORK, NY

Past

September 21, 2000 - May 10, 2002

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

August 22, 1997 - March 31, 1999

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

January 1, 1996 - August 4, 1997

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

March 14, 1995 - January 1, 1996

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

July 6, 1994 - March 16, 1995

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/9/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/1994

General Securities Representative Examination

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dawn M. Wright

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TCW FUNDS DISTRIBUTORS LLC

ING INVESTMENT MANAGEMENT SERVICES LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

FLEET ENTERPRISES, INC.

FIRST UNION BROKERAGE SERVICES, INC.

MARKETING ONE SECURITIES, INC.

GMS GROUP

Primary Firm SEC Registration

TCW INVESTMENT MANAGEMENT COMPANY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2008

Series 63

Date: 8/25/1994

SIE

Date: 10/1/2018

Series 7

Date: 6/3/1994

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

Contact information

Similar Advisors