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MD

Mariama Diallo

TCW FUNDS DISTRIBUTORS LLC
Boston, MA 02116
Some features on this profile are disabled
CRD#: 7056667
MD

Professional summary

Mariama Diallo is a registered financial professional currently at TCW FUNDS DISTRIBUTORS LLC located in Boston, Massachusetts.

Mariama is registered as a RR (Registered Representative) and started their career in finance in 2019. Mariama has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Mariama Diallo'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®
None

Experience

Current

August 22, 2024 - Present

TCW FUNDS DISTRIBUTORS LLC

Office #1: The John Hancock Tower 200 Clarendon St 51st Floor, Boston, MA, 02116
BD
CRD#: 16670
Boston, MA
Past

June 15, 2023 - August 20, 2024

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

May 28, 2020 - October 13, 2021

CAPITAL CLIENT GROUP, INC.

RIA
CRD#: 6247
CARMEL, IN
Past

November 1, 2019 - October 13, 2021

CAPITAL CLIENT GROUP, INC.

BD
CRD#: 6247
CARMEL, IN

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
Connecticut
(8/22/2024)
RR
Maine
(8/22/2024)
RR
Maryland
(8/22/2024)
RR
Massachusetts
(8/22/2024)
RR
New Hampshire
(8/22/2024)
RR
New Jersey
(8/22/2024)
RR
New York
(8/22/2024)
RR
Pennsylvania
(8/22/2024)
RR
Rhode Island
(8/22/2024)
RR
Vermont
(8/22/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/28/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/31/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/28/2020
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 11/1/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/7/2019
Securities Industry Essentials 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#: 16670Boston, MA 02116

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