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JG

Jordan Gaudio

TCW FUNDS DISTRIBUTORS LLC
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 6585270
JG

Professional summary

Jordan Gaudio, CIMA®, who also goes by Jordan F Gaudio, is a registered financial professional currently at TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.

Jordan is registered as a RR (Registered Representative) and started their career in finance in 2015. Jordan has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jordan F Gaudio

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) - BD

Click below to view Jordan Gaudio's 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®
CIMA®

Certified Investment Management Analyst

Experience

Current

April 9, 2024 - Present

TCW FUNDS DISTRIBUTORS LLC

Office #1: 515 South Flower Street, Los Angeles, CA 90071
BD
CRD#: 16670
Los Angeles, CA
Past

January 5, 2018 - March 21, 2024

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
COLUMBUS, OH
Past

December 11, 2015 - January 8, 2018

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
COLUMBUS, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(4/9/2024)
RR
Kentucky
(4/9/2024)
RR
New York
(4/9/2024)
RR
Ohio
(4/12/2024)
RR
Pennsylvania
(4/9/2024)
RR
West Virginia
(4/9/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/23/2015
Uniform Securities Agent 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: 11/22/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/11/2015
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TF
TCW FUNDS DISTRIBUTORS LLC
KENTER SECURITIES CORPORATION | TCW FUNDS DISTRIBUTORS LLC | TCW FUNDS DISTRIBUTORS | TCW BROKERAGE SERVICES

CRD#: 16670 / SEC#: , 8-31114

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
515 South Flower Street, Los Angeles, CA 90071
Mailing Address
515 South Flower Street, Los Angeles, CA 90071
Phone number
(213) 244-0000
Established
Delaware since 04/01/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THE TCW GROUP, INC.SOLE SHAREHOLDER
CAMPBELL, ROBERT NMNFINANCIAL REPORTING DIRECTOR/FINOP1349154
CARIERI, JOSEPH CARLMANAGER1223713
MAGPAYO, JOSEPH TCHAIRMAN OF THE BOARD, PRESIDENT, AND CHIEF EXECUTIVE OFFICER2295294
MCCARTHY, GINAMANAGER4226460
VILLA, RICHARD MANUELCHIEF FINANCIAL OFFICER OF THE TCW GROUP, INC.5586600
WERTS, FELICIA PANCHIEF COMPLIANCE OFFICER & SECRETARY6562508

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 FUNDS DISTRIBUTORS LLC

CRD#: 16670Los Angeles, CA 90071

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