Mark A. Vasquez
Professional summary
Mark A Vasquez is a registered financial advisor currently at TCW INVESTMENT MANAGEMENT COMPANY LLC located in Los Angeles, California and TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Mark has worked at 3 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) - RIA
Click below to view Mark A Vasquez's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 21, 2005 - Present
TCW INVESTMENT MANAGEMENT COMPANY LLC
Office #1: 515 South Flower Street, Los Angeles, CA 90071April 9, 2003 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 515 S. Flower St, Los Angeles, CA 90071February 20, 2001 - March 7, 2003
PACIFIC SELECT 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
(12/17/2013)
(2/14/2014)
(1/29/2009)
(1/28/2009)
(8/2/2013)
(12/17/2013)
(11/7/2005)
(11/29/2012)
(5/1/2009)
(12/17/2013)
(2/20/2014)
(11/3/2005)
(1/20/2009)
(12/7/2011)
(11/7/2005)
(12/7/2011)
(1/9/2009)
(1/29/2009)
Exams
FINRA
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
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