Joseph A. Ciccione
Professional summary
Joseph Anthony Ciccione is a registered financial professional currently at TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2009. Joseph has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Ciccione's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 29, 2016 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 515 S. Flower St, Los Angeles, CA 90071March 10, 2010 - November 29, 2016
CALAMOS FINANCIAL SERVICES LLC
December 23, 2009 - March 2, 2010
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/7/2016)
(12/7/2016)
(11/30/2016)
(12/7/2016)
(12/7/2016)
(12/7/2016)
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
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.
