Christine M. Martin
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.
Christine Marie Martin, who also goes by Christine Mcchesney Martin, Christine Martin, Christine Marie Mcchesney, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1999. Christine had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2006 - January 14, 2016
TCW INVESTMENT MANAGEMENT COMPANY LLC
May 12, 1999 - December 31, 2015
TCW FUNDS DISTRIBUTORS LLC
Primary Firm SEC Registration
TCW INVESTMENT MANAGEMENT COMPANY LLC
CRD#: 106546 / SEC#: 801-29075
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 INVESTMENT MANAGEMENT COMPANY LLC
CRD#: 106546 / SEC#: 801-29075
Contact information
SEC notice filing (53 States and Territories)
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.
