David Ying
Professional summary
David Ying is a registered financial professional currently at TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.
David is registered as a RR (Registered Representative) and started their career in finance in 2021. David has worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Ying's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2024 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 515 South Flower Street, Los Angeles, CA 90071April 8, 2022 - August 13, 2023
J.P. MORGAN SECURITIES LLC
August 23, 2021 - March 11, 2022
D.A. DAVIDSON & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/19/2024)
(9/19/2024)
Exams
Series 79TO
Date: 8/23/2021
Investment Banking Registered 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
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