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CW

Christen B. Whittington

TCW FUNDS DISTRIBUTORS LLC
Chicago, IL 60661
Some features on this profile are disabled
CRD#: 4377307
CW

Professional summary

Christen Bolls Whittington, who also goes by Christen Leigh Bolls, Christen Bolls, Christen Whittington, is a registered financial professional currently at TCW FUNDS DISTRIBUTORS LLC located in Chicago, Illinois.

Christen is registered as a RR (Registered Representative) and started their career in finance in 2001. Christen has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 3, Series 7 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christen Leigh Bolls | Christen Bolls | Christen Whittington

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christen Bolls Whittington's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 12, 2024 - Present

TCW FUNDS DISTRIBUTORS LLC

Office #1: 500 W. Madison Street, Suite 1000, Chicago, IL 60661
BD
CRD#: 16670
Chicago, IL
Past

September 29, 2020 - December 8, 2023

SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC

BD
CRD#: 170062
WELLESLEY HILLS, MA
Past

May 24, 2004 - August 19, 2010

CONSULTING SERVICES GROUP, LLC

RIA
CRD#: 107048
MEMPHIS, TN
Past

July 17, 2001 - August 19, 2010

ENERECAP PARTNERS, LLC

BD
CRD#: 26554
MEMPHIS, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(12/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/13/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/27/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/29/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/10/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/10/2017
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 5/25/2021
NFA Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

TF
TCW FUNDS DISTRIBUTORS LLC
KENTER SECURITIES CORPORATION | TCW FUNDS DISTRIBUTORS LLC | TCW FUNDS DISTRIBUTORS | TCW BROKERAGE SERVICES

CRD#: 16670 / SEC#: , 8-31114

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
515 South Flower Street, Los Angeles, CA 90071
Mailing Address
515 South Flower Street, Los Angeles, CA 90071
Phone number
(213) 244-0000
Established
Delaware since 04/01/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THE TCW GROUP, INC.SOLE SHAREHOLDER
CAMPBELL, ROBERT NMNFINANCIAL REPORTING DIRECTOR/FINOP1349154
CARIERI, JOSEPH CARLMANAGER1223713
MAGPAYO, JOSEPH TCHAIRMAN OF THE BOARD, PRESIDENT, AND CHIEF EXECUTIVE OFFICER2295294
MCCARTHY, GINAMANAGER4226460
VILLA, RICHARD MANUELCHIEF FINANCIAL OFFICER OF THE TCW GROUP, INC.5586600
WERTS, FELICIA PANCHIEF COMPLIANCE OFFICER & SECRETARY6562508

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.

Company Information

TCW FUNDS DISTRIBUTORS LLC

CRD#: 16670Chicago, IL 60661

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