Anna E. Kinsella

TCW INVESTMENT MANAGEMENT COMPANY LLC

Fort Lauderdale, FL

Some features on this profile are disabled

CRD#: 4843109

Professional summary

Anna E Kinsella, who also goes by Anna Elizabeth Kinsella Ms, Anna Elizabeth Kinsella, is a registered financial advisor currently at TCW INVESTMENT MANAGEMENT COMPANY LLC located in Fort Lauderdale, Florida and TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.

Anna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Anna has worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anna Elizabeth Kinsella Ms | Anna Elizabeth Kinsella

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.

IAR AT FLEXIBLE PLAN INVESTMENTS, 3883 TELEGRAPH RD STE 100, BLOOMFIELD HILLS, MI, 48302, SINCE 11/2020; ACTIVITIES INCLUDE CLIENT RELATIONSHIP MANAGEMENT, 200 HRS PER MONTH, 40 HRS PER WEEK; COMPENSATION RECEIVED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anna E Kinsella's CRS (Customer Relationship Summary).

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

March 5, 2024 - Present

TCW INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 106546

Fort Lauderdale, FL

Current

March 5, 2024 - Present

TCW FUNDS DISTRIBUTORS LLC

Office #1: 515 South Flower Street, Los Angeles, CA 90071

CRD#: 16670

Los Angeles, CA

Past

March 29, 2021 - February 15, 2024

FLEXIBLE PLAN INVESTMENTS LTD

RIA

CRD#: 110762

BLOOMFIELD HILLS, MI

Past

February 24, 2021 - February 20, 2024

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

ROCKVILLE, MD

Past

October 15, 2018 - November 6, 2020

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

FORT LAUDERDALE, FL

Past

July 30, 2018 - November 6, 2020

OPPENHEIMER & CO. INC.

CRD#: 249

FORT LAUDERDALE, FL

Past

August 23, 2017 - June 15, 2018

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

Eureka, MO

Past

July 14, 2016 - December 7, 2016

MORGAN STANLEY

CRD#: 149777

CHESTERFIELD, MO

Past

May 2, 2016 - July 6, 2016

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

October 1, 2015 - May 4, 2016

INSPEREX LLC

CRD#: 101420

DELRAY BEACH, FL

Past

May 5, 2011 - September 21, 2015

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

May 7, 2007 - March 29, 2011

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

May 10, 2006 - May 4, 2007

USF SECURITIES, L.P.

CRD#: 37942

CHICAGO, IL

Past

March 9, 2005 - June 27, 2005

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

October 12, 2004 - February 16, 2005

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(3/5/2024)

IAR

California
(3/5/2024)

Florida
(3/5/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/9/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/7/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/2004

General Securities Representative Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Anna E. Kinsella

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anna E Kinsella's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCW FUNDS DISTRIBUTORS LLC

FLEXIBLE PLAN INVESTMENTS LTD

CEROS FINANCIAL SERVICES, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MISSIONSQUARE INVESTMENT SERVICES

MORGAN STANLEY

NUVEEN SECURITIES, LLC

INSPEREX LLC

LPL FINANCIAL LLC

CALAMOS FINANCIAL SERVICES LLC

USF SECURITIES, L.P.

TD AMERITRADE, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TCW INVESTMENT MANAGEMENT COMPANY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/2018

Series 63

Date: 1/7/2005

SIE

Date: 10/1/2018

Series 7

Date: 10/11/2004

FINRA

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

Similar Advisors