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TK

Thomas Y. Kuo

TCW INVESTMENT MANAGEMENT COMPANY LLC
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 6124232
TK

Professional summary

Thomas Yen-hsi Kuo, who also goes by Thomas Y Kuo, is a registered financial advisor currently at TCW INVESTMENT MANAGEMENT COMPANY LLC located in Los Angeles, California and TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Y Kuo

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) - RIA

Click below to view Thomas Yen-hsi Kuo'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 9, 2023 - Present

TCW INVESTMENT MANAGEMENT COMPANY LLC

Office #1: 515 South Flower Street, Los Angeles, CA 90071
RIA
CRD#: 106546
Los Angeles, CA
Current

December 18, 2014 - Present

TCW FUNDS DISTRIBUTORS LLC

Office #1: 515 S. Flower St, Los Angeles, CA 90071
BD
CRD#: 16670
LOS ANGELES, CA
Past

March 21, 2013 - February 26, 2014

CITY NATIONAL ROCHDALE

RIA
CRD#: 117198
NEW YORK, NY
Past

January 29, 2013 - February 26, 2014

CNR SECURITIES, LLC

BD
CRD#: 18466
BEVERLY HILLS, CA

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".
TI
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.
RR
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

RR
California
(12/18/2014)
IAR
California
(3/9/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/20/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/28/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TI
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts4,758
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.

Company Information

TCW INVESTMENT MANAGEMENT COMPANY LLC

CRD#: 106546Los Angeles, CA 90071

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