Brent P. Abendroth

TCW INVESTMENT MANAGEMENT COMPANY LLC

Hinsdale, IL

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CRD#: 6224921

Professional summary

Brent Paul Abendroth is a registered financial advisor currently at TCW INVESTMENT MANAGEMENT COMPANY LLC located in Hinsdale, Illinois and TCW FUNDS DISTRIBUTORS LLC located in Boston, Massachusetts.

Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Brent has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Brent Paul Abendroth'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

October 7, 2024 - Present

TCW INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 106546

Hinsdale, IL

Current

October 7, 2024 - Present

TCW FUNDS DISTRIBUTORS LLC

Office #1: The John Hancock Tower 200 Clarendon St 51st Floor, Boston, MA, 02116

CRD#: 16670

Boston, MA

Past

December 15, 2020 - September 13, 2024

AMUNDI ASSET MANAGEMENT US, INC.

RIA

CRD#: 107719

BOSTON, MA

Past

November 7, 2017 - December 31, 2020

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

October 31, 2014 - September 13, 2024

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

August 27, 2013 - October 27, 2014

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

ANDOVER, MA

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

Alabama
(10/7/2024)

IAR

Alabama
(10/7/2024)

Alaska
(10/7/2024)

IAR

Alaska
(10/28/2024)

Arizona
(10/7/2024)

IAR

Arizona
(10/25/2024)

Arkansas
(10/7/2024)

IAR

Arkansas
(10/28/2024)

California
(10/7/2024)

IAR

California
(10/8/2024)

Colorado
(10/7/2024)

IAR

Colorado
(10/28/2024)

Connecticut
(10/7/2024)

IAR

Connecticut
(10/7/2024)

Delaware
(10/7/2024)

IAR

Delaware
(10/28/2024)

District of Columbia
(10/7/2024)

IAR

District of Columbia
(11/7/2024)

Florida
(10/7/2024)

IAR

Florida
(11/19/2024)

Georgia
(10/7/2024)

IAR

Georgia
(10/8/2024)

Hawaii
(10/7/2024)

IAR

Hawaii
(11/7/2024)

Idaho
(10/7/2024)

IAR

Idaho
(10/15/2024)

Illinois
(10/7/2024)

IAR

Illinois
(10/25/2024)

Indiana
(10/7/2024)

IAR

Indiana
(10/7/2024)

Iowa
(10/7/2024)

IAR

Iowa
(10/11/2024)

Kansas
(10/7/2024)

IAR

Kansas
(10/25/2024)

Kentucky
(10/7/2024)

IAR

Kentucky
(10/28/2024)

Louisiana
(10/7/2024)

IAR

Louisiana
(10/30/2024)

Maine
(10/7/2024)

IAR

Maine
(10/7/2024)

Maryland
(10/7/2024)

IAR

Maryland
(10/7/2024)

Massachusetts
(10/7/2024)

IAR

Massachusetts
(10/29/2024)

Michigan
(10/7/2024)

IAR

Michigan
(10/28/2024)

Minnesota
(10/7/2024)

IAR

Minnesota
(10/28/2024)

Mississippi
(10/7/2024)

IAR

Mississippi
(10/28/2024)

Missouri
(10/7/2024)

IAR

Missouri
(10/8/2024)

Montana
(10/7/2024)

IAR

Montana
(10/9/2024)

Nebraska
(10/7/2024)

IAR

Nebraska
(10/11/2024)

Nevada
(10/7/2024)

IAR

Nevada
(10/28/2024)

New Hampshire
(10/7/2024)

IAR

New Hampshire
(10/30/2024)

New Jersey
(10/7/2024)

IAR

New Jersey
(10/8/2024)

New Mexico
(10/7/2024)

IAR

New Mexico
(10/25/2024)

New York
(10/7/2024)

IAR

New York
(10/28/2024)

North Carolina
(10/7/2024)

IAR

North Carolina
(10/29/2024)

North Dakota
(10/7/2024)

IAR

North Dakota
(10/28/2024)

Ohio
(10/7/2024)

IAR

Ohio
(10/7/2024)

Oklahoma
(10/7/2024)

IAR

Oklahoma
(10/31/2024)

Oregon
(10/7/2024)

IAR

Oregon
(1/3/2025)

Pennsylvania
(10/7/2024)

IAR

Pennsylvania
(10/8/2024)

Puerto Rico
(10/7/2024)

IAR

Puerto Rico
(10/21/2024)

Rhode Island
(10/7/2024)

IAR

Rhode Island
(10/8/2024)

South Carolina
(10/7/2024)

IAR

South Carolina
(10/25/2024)

South Dakota
(10/7/2024)

IAR

South Dakota
(10/29/2024)

Tennessee
(10/7/2024)

Texas
(10/7/2024)

IAR

Texas
(10/8/2024)

Utah
(10/7/2024)

IAR

Utah
(10/8/2024)

Vermont
(10/7/2024)

IAR

Vermont
(10/8/2024)

Virgin Islands
(10/7/2024)

IAR

Virgin Islands
(10/9/2024)

Virginia
(10/7/2024)

IAR

Virginia
(10/26/2024)

Washington
(10/7/2024)

IAR

Washington
(10/8/2024)

West Virginia
(10/7/2024)

IAR

West Virginia
(10/28/2024)

Wisconsin
(10/7/2024)

IAR

Wisconsin
(10/7/2024)

Wyoming
(10/7/2024)

IAR

Wyoming
(10/7/2024)

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 66

Date: 10/30/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/1/2013

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: 10/2/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/27/2013

Investment Company Products/Variable Contracts 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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Brent P. Abendroth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Paul Abendroth's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCW FUNDS DISTRIBUTORS LLC

AMUNDI ASSET MANAGEMENT US, INC.

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI DISTRIBUTOR US, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

TCW INVESTMENT MANAGEMENT COMPANY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/30/2017

Series 63

Date: 10/1/2013

SIE

Date: 10/1/2018

Series 7

Date: 10/2/2015

Series 6

Date: 8/27/2013

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

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