Michael J. Stevens

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CRD#: 4584565

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.

Michael James Stevens, who also goes by Michael Stevens, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 6 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Stevens

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 9, 2023 - October 14, 2024

TCW INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 106546

LOS ANGELES, CA

Past

September 5, 2014 - October 14, 2024

TCW FUNDS DISTRIBUTORS LLC

CRD#: 16670

LOS ANGELES, CA

Past

January 2, 2009 - August 5, 2011

MORGAN STANLEY INVESTMENT ADVISORS INC.

RIA

CRD#: 104525

NEW YORK, NY

Past

January 2, 2009 - May 13, 2013

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

April 2, 2007 - December 31, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NEW YORK, NY

Past

April 2, 2007 - December 31, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

March 24, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PURCHASE, NY

Past

June 11, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/22/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/4/2017

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/10/2004

General Securities Representative Examination

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TIMCO - FORM ADV PART 2A - FILE COPY - 03.28.2025 (3/28/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Michael J. Stevens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TCW FUNDS DISTRIBUTORS LLC

MORGAN STANLEY INVESTMENT ADVISORS INC.

MORGAN STANLEY DISTRIBUTION, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TCW INVESTMENT MANAGEMENT COMPANY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/22/2006

SIE

Date: 10/1/2018

Series 3

Date: 10/4/2017

Series 7

Date: 6/10/2004

Current Firm

TCW INVESTMENT MANAGEMENT COMPANY LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TCW INVESTMENT MANAGEMENT COMPANY LLC

TRUST BUT VERIFY

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