DW
David A. Walters
TCW FUNDS DISTRIBUTORS LLC
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 7368587
DW
Professional summary
David Allen Walters Jr., who also goes by David Allen Walters, 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 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Allen Walters
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.
CRS (Client Relationship Summary) - BD
Click below to view David Allen Walters Jr.'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®
NoneExperience
Current
May 24, 2021 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 515 South Flower Street, Los Angeles, CA 90071BD
CRD#: 16670
Los Angeles, CA
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
Alabama(4/4/2022)
RR
Alaska(8/28/2024)
RR
Arizona(10/16/2025)
RR
Arkansas(4/4/2022)
RR
California(7/10/2021)
RR
Colorado(6/16/2022)
RR
District of Columbia(10/14/2021)
RR
Florida(4/4/2022)
RR
Georgia(4/4/2022)
RR
Idaho(8/28/2024)
RR
Illinois(1/29/2025)
RR
Indiana(1/29/2025)
RR
Iowa(6/16/2022)
RR
Kansas(6/16/2022)
RR
Kentucky(10/14/2021)
RR
Louisiana(4/4/2022)
RR
Michigan(1/29/2025)
RR
Minnesota(1/29/2025)
RR
Mississippi(4/4/2022)
RR
Missouri(1/29/2025)
RR
Montana(8/28/2024)
RR
Nebraska(6/16/2022)
RR
Nevada(8/28/2024)
RR
New Mexico(4/4/2022)
RR
North Carolina(10/14/2021)
RR
North Dakota(6/16/2022)
RR
Ohio(2/3/2025)
RR
Oklahoma(4/4/2022)
RR
Oregon(8/28/2024)
RR
South Carolina(4/4/2022)
RR
South Dakota(6/16/2022)
RR
Tennessee(10/14/2021)
RR
Texas(4/4/2022)
RR
Utah(6/16/2022)
RR
Virginia(10/14/2021)
RR
Washington(8/28/2024)
RR
West Virginia(10/14/2021)
RR
Wisconsin(1/29/2025)
RR
Wyoming(1/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/24/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
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)
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
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.
