Stephen M. Kane
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.
Stephen Michael Kane was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2010 - January 13, 2025
TCW FUNDS DISTRIBUTORS LLC
January 3, 2005 - December 8, 2010
MWAM DISTRIBUTORS, LLC
March 17, 2004 - December 31, 2004
FORESIDE FUNDS DISTRIBUTORS LLC
May 22, 2000 - April 23, 2002
FORESIDE FUNDS DISTRIBUTORS LLC
January 1, 1997 - January 12, 1998
METROPOLITAN WEST SECURITIES, LLC
January 12, 1996 - August 28, 1996
FIRST FUND DISTRIBUTORS, INC.
November 21, 1994 - November 1, 1995
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
April 26, 1994 - November 21, 1994
PACIFIC SELECT DISTRIBUTORS, LLC
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
