Monica Mora
Professional summary
Monica Mora, who also goes by Monica I Mora, Monica Irma Mora, Monica Mora, is a registered financial professional currently at TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.
Monica is registered as a RR (Registered Representative) and started their career in finance in 2012. Monica has worked at 4 firms and has passed the Series 63, Series 6TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Monica Mora's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 8, 2022 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 515 South Flower Street, Los Angeles, CA 90071February 21, 2017 - April 28, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
October 1, 2012 - February 9, 2017
J.P. MORGAN SECURITIES LLC
July 10, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
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
Series 6TO
Date: 3/13/2022
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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.
