AH
Andrew L. Humberd
TCW INVESTMENT MANAGEMENT COMPANY LLC
Boston,, MA 02116
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CRD#: 4428739
AH
Professional summary
Andrew Leo Humberd is a registered financial advisor currently at TCW INVESTMENT MANAGEMENT COMPANY LLC located in Boston,, Massachusetts and TCW FUNDS DISTRIBUTORS LLC located in Boston, Massachusetts.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Andrew has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Leo Humberd'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®
NoneExperience
Current
May 9, 2024 - Present
TCW INVESTMENT MANAGEMENT COMPANY LLC
Office #1: 200 Clarendon St 51st Floor, Boston,, MA 02116RIA
CRD#: 106546
Boston,, MA
Current
May 21, 2024 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: The John Hancock Tower 200 Clarendon St 51st Floor, Boston, MA, 02116BD
CRD#: 16670
Boston, MA
Past
August 12, 2014 - April 19, 2024
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
BOSTON, MA
Past
August 5, 2014 - April 19, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
Boston, MA
Past
September 18, 2009 - August 5, 2014
NATIXIS ADVISORS, LLC
RIA
CRD#: 106800
BOSTON, MA
Past
September 10, 2009 - July 9, 2014
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
Past
May 28, 2004 - September 17, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
BRAINTREE, MA
Past
November 28, 2001 - September 17, 2009
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TI
TCW INVESTMENT MANAGEMENT COMPANY LLC
TCW INVESTMENT MANAGEMENT CO | TCW INVESTMENT MANAGEMENT COMPANY LLC
CRD#: 106546 / SEC#: 801-29075
RIA
Registered Investment Advisory firm - (2/18/1987 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
Alabama(5/9/2024)
RR
Alabama(5/21/2024)
IAR
Alaska(5/16/2024)
RR
Alaska(5/21/2024)
RR
Arizona(5/21/2024)
IAR
Arizona(6/13/2024)
RR
Arkansas(5/21/2024)
IAR
Arkansas(5/21/2024)
IAR
California(5/9/2024)
RR
California(5/21/2024)
RR
Colorado(5/21/2024)
IAR
Colorado(10/3/2024)
RR
Connecticut(5/21/2024)
IAR
Connecticut(7/9/2024)
RR
Delaware(5/21/2024)
IAR
Delaware(7/3/2024)
RR
District of Columbia(5/21/2024)
IAR
District of Columbia(6/5/2024)
RR
Florida(5/21/2024)
IAR
Florida(5/22/2024)
RR
Georgia(5/21/2024)
IAR
Georgia(5/30/2024)
RR
Hawaii(5/21/2024)
IAR
Hawaii(6/13/2024)
IAR
Idaho(5/13/2024)
RR
Idaho(5/21/2024)
RR
Illinois(5/21/2024)
IAR
Illinois(6/25/2024)
RR
Indiana(5/21/2024)
IAR
Indiana(5/30/2024)
IAR
Iowa(5/10/2024)
RR
Iowa(5/21/2024)
RR
Kansas(5/21/2024)
IAR
Kansas(6/13/2024)
RR
Kentucky(5/21/2024)
IAR
Kentucky(6/4/2024)
RR
Louisiana(5/21/2024)
IAR
Louisiana(11/19/2024)
IAR
Maine(5/9/2024)
RR
Maine(5/21/2024)
RR
Maryland(5/21/2024)
IAR
Maryland(6/13/2024)
RR
Massachusetts(5/21/2024)
IAR
Massachusetts(6/10/2024)
IAR
Michigan(5/14/2024)
RR
Michigan(5/21/2024)
RR
Minnesota(5/21/2024)
IAR
Minnesota(6/10/2024)
RR
Mississippi(5/21/2024)
IAR
Mississippi(6/12/2024)
IAR
Missouri(5/10/2024)
RR
Missouri(5/21/2024)
RR
Montana(5/21/2024)
IAR
Montana(5/28/2024)
IAR
Nebraska(5/9/2024)
RR
Nebraska(5/21/2024)
RR
Nevada(5/21/2024)
IAR
Nevada(6/10/2024)
RR
New Hampshire(5/21/2024)
IAR
New Hampshire(6/13/2024)
IAR
New Jersey(5/9/2024)
RR
New Jersey(5/21/2024)
RR
New Mexico(5/21/2024)
IAR
New Mexico(6/10/2024)
RR
New York(5/21/2024)
RR
North Carolina(5/21/2024)
IAR
North Carolina(6/12/2024)
RR
North Dakota(5/21/2024)
IAR
North Dakota(6/13/2024)
IAR
Ohio(5/9/2024)
RR
Ohio(5/21/2024)
RR
Oklahoma(5/21/2024)
IAR
Oklahoma(6/11/2024)
IAR
Oregon(5/10/2024)
RR
Oregon(6/25/2024)
IAR
Pennsylvania(5/9/2024)
RR
Pennsylvania(5/21/2024)
RR
Puerto Rico(5/21/2024)
IAR
Puerto Rico(5/22/2024)
RR
Rhode Island(5/21/2024)
IAR
Rhode Island(5/21/2024)
RR
South Carolina(5/21/2024)
IAR
South Carolina(6/11/2024)
RR
South Dakota(5/21/2024)
IAR
South Dakota(6/11/2024)
RR
Tennessee(5/21/2024)
IAR
Texas(5/9/2024)
RR
Texas(5/21/2024)
IAR
Utah(5/9/2024)
RR
Utah(5/21/2024)
IAR
Vermont(5/9/2024)
RR
Vermont(5/21/2024)
RR
Virgin Islands(5/21/2024)
IAR
Virgin Islands(6/3/2024)
RR
Virginia(5/21/2024)
IAR
Virginia(6/13/2024)
RR
Washington(5/21/2024)
IAR
Washington(6/21/2024)
RR
West Virginia(5/21/2024)
IAR
West Virginia(6/24/2024)
RR
Wisconsin(5/21/2024)
IAR
Wisconsin(6/11/2024)
RR
Wyoming(5/21/2024)
IAR
Wyoming(8/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TCW INVESTMENT MANAGEMENT COMPANY LLC
TCW INVESTMENT MANAGEMENT CO | TCW INVESTMENT MANAGEMENT COMPANY LLC
CRD#: 106546 / SEC#: 801-29075
RIA
Registered Investment Advisory firm - (2/18/1987 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
515 South Flower Street, Los Angeles, CA 90071
Mailing Address
Phone number
(213) 244-0000
Established
Firm type
Fiscal year end
# of Employees
419
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.
Company Information
TCW INVESTMENT MANAGEMENT COMPANY LLC
CRD#: 106546Boston,, MA 02116TRUST BUT VERIFY
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