David C. Wang
Professional summary
David Chih-wen Wang, who also goes by David Chihwen Wang, is a registered financial professional currently at TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.
David is registered as a RR (Registered Representative) and started their career in finance in 2000. David has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Chih-wen Wang's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 21, 2013 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 515 S. Flower St, Los Angeles, CA 90071March 26, 2010 - June 14, 2013
HOULIHAN LOKEY CAPITAL, INC.
March 27, 2006 - December 14, 2006
BEDROCK SECURITIES, LLC
January 2, 2002 - January 31, 2006
LIBRA SECURITIES, LLC
December 21, 2000 - December 31, 2001
U.S. BANCORP INVESTMENTS, INC.
February 10, 2000 - September 21, 2000
ROTH CAPITAL PARTNERS, 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
(6/24/2013)
(2/25/2016)
(8/12/2021)
(6/28/2016)
(2/24/2016)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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
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