Keith A. Nguyen
Professional summary
Keith Anh Nguyen, who also goes by Dung Anh Nguyen, is a registered financial professional currently at TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.
Keith is registered as a RR (Registered Representative) and started their career in finance in 2008. Keith has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith Anh Nguyen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2024 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 515 South Flower Street, Los Angeles, CA 90071June 20, 2017 - September 1, 2022
AMERICAN CENTURY INVESTMENT SERVICES INC.
June 3, 2015 - May 24, 2016
LPL FINANCIAL LLC
June 3, 2015 - May 24, 2016
LPL FINANCIAL LLC
March 5, 2014 - June 25, 2015
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
June 6, 2008 - June 11, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 3, 2008 - June 11, 2013
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
TCW FUNDS DISTRIBUTORS LLC
CRD#: 16670 / SEC#: , 8-31114
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE TCW GROUP, INC. | SOLE SHAREHOLDER | |
| CAMPBELL, ROBERT NMN | FINANCIAL REPORTING DIRECTOR/FINOP | 1349154 |
| CARIERI, JOSEPH CARL | MANAGER | 1223713 |
| MAGPAYO, JOSEPH T | CHAIRMAN OF THE BOARD, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 2295294 |
| MCCARTHY, GINA | MANAGER | 4226460 |
| VILLA, RICHARD MANUEL | CHIEF FINANCIAL OFFICER OF THE TCW GROUP, INC. | 5586600 |
| WERTS, FELICIA PAN | CHIEF COMPLIANCE OFFICER & SECRETARY | 6562508 |
Red Flags
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