PT
Powell C. Thurston
TCW FUNDS DISTRIBUTORS LLC
Los Angeles, CA 90071
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CRD#: 2298658
PT
Professional summary
Powell Christopher Thurston is a registered financial professional currently at TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.
Powell is registered as a RR (Registered Representative) and started their career in finance in 1993. Powell has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Powell Christopher Thurston'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®
NoneExperience
Current
July 3, 2024 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 515 South Flower Street, Los Angeles, CA 90071BD
CRD#: 16670
Los Angeles, CA
Past
August 27, 2013 - May 15, 2024
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
PASADENA, CA
Past
August 27, 1999 - July 7, 2010
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEWPORT BEACH, CA
Past
May 21, 1993 - August 2, 1995
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(7/3/2024)
RR
Alaska(7/3/2024)
RR
Arizona(7/3/2024)
RR
Arkansas(7/3/2024)
RR
California(7/3/2024)
RR
Colorado(7/3/2024)
RR
Connecticut(7/3/2024)
RR
Delaware(7/3/2024)
RR
District of Columbia(7/3/2024)
RR
Florida(7/3/2024)
RR
Georgia(7/3/2024)
RR
Hawaii(7/3/2024)
RR
Idaho(7/3/2024)
RR
Illinois(7/3/2024)
RR
Indiana(7/3/2024)
RR
Iowa(7/3/2024)
RR
Kansas(7/3/2024)
RR
Kentucky(7/3/2024)
RR
Louisiana(7/3/2024)
RR
Maine(7/3/2024)
RR
Maryland(7/3/2024)
RR
Massachusetts(7/3/2024)
RR
Michigan(7/3/2024)
RR
Minnesota(7/3/2024)
RR
Mississippi(7/3/2024)
RR
Missouri(7/3/2024)
RR
Montana(7/3/2024)
RR
Nebraska(7/3/2024)
RR
Nevada(7/3/2024)
RR
New Hampshire(7/3/2024)
RR
New Jersey(7/3/2024)
RR
New Mexico(7/3/2024)
RR
New York(7/3/2024)
RR
North Carolina(7/3/2024)
RR
North Dakota(7/3/2024)
RR
Ohio(7/3/2024)
RR
Oklahoma(7/3/2024)
RR
Oregon(7/3/2024)
RR
Pennsylvania(7/3/2024)
RR
Puerto Rico(7/3/2024)
RR
Rhode Island(7/3/2024)
RR
South Carolina(7/3/2024)
RR
South Dakota(7/3/2024)
RR
Tennessee(7/3/2024)
RR
Texas(7/3/2024)
RR
Utah(7/3/2024)
RR
Vermont(7/3/2024)
RR
Virgin Islands(7/3/2024)
RR
Virginia(7/3/2024)
RR
Washington(7/3/2024)
RR
West Virginia(7/3/2024)
RR
Wisconsin(7/3/2024)
RR
Wyoming(7/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TCW FUNDS DISTRIBUTORS LLC
KENTER SECURITIES CORPORATION | TCW FUNDS DISTRIBUTORS LLC | TCW FUNDS DISTRIBUTORS | TCW BROKERAGE SERVICES
CRD#: 16670 / SEC#: , 8-31114
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
515 South Flower Street, Los Angeles, CA 90071
Mailing Address
515 South Flower Street, Los Angeles, CA 90071
Phone number
(213) 244-0000
Established
Delaware since 04/01/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
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.
