Joseph A. Hagan
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.
Joseph Addison Hagan IV, who also goes by Joseph Addison Hagan, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2013 - March 2, 2016
TCW INVESTMENT MANAGEMENT COMPANY LLC
November 22, 2013 - March 1, 2016
TCW FUNDS DISTRIBUTORS LLC
April 1, 2013 - November 15, 2013
ALPS DISTRIBUTORS, INC.
March 28, 2012 - November 18, 2013
STADION MONEY MANAGEMENT, LLC
March 18, 2010 - March 8, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 28, 2009 - April 1, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 13, 2008 - June 8, 2009
TRANSAMERICA CAPITAL, LLC
July 17, 2006 - November 11, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 17, 2006 - November 11, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 30, 2005 - July 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
November 30, 2005 - July 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 24, 2004 - September 19, 2005
PUTNAM INVESTMENT MANAGEMENT, LLC
February 8, 1999 - September 19, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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.
