Steven J. Purdy
Professional summary
Steven John Purdy is a registered financial professional currently at TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1998. Steven has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven John Purdy's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 2, 2016 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 515 S. Flower St, Los Angeles, CA 90071October 3, 2003 - June 16, 2014
GOLDMAN SACHS & CO. LLC
August 31, 1998 - July 3, 2001
GOLDMAN SACHS & CO. 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
(5/2/2016)
Exams
Series 62
Date: 8/29/1998
Corporate Securities Limited 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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