SK
Sarah Kaiser
TCW INVESTMENT MANAGEMENT COMPANY LLC
New York, NY 10020
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CRD#: 7797733
SK
Professional summary
Sarah Kaiser is a registered financial advisor currently at TCW INVESTMENT MANAGEMENT COMPANY LLC located in New York, New York and TCW FUNDS DISTRIBUTORS LLC located in New York, New York.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Sarah has worked at 4 firms and has passed the Series 66, Series 7TO and SIE 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.
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Kaiser'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
September 9, 2024 - Present
TCW INVESTMENT MANAGEMENT COMPANY LLC
Office #1: 1251 Ave Of The Americas Suite 4700, New York, NY 10020RIA
CRD#: 106546
New York, NY
Current
September 9, 2024 - Present
TCW FUNDS DISTRIBUTORS LLC
Office #1: 1251 Avenue Of The Americas Suite 4700, New York, NY 10020BD
CRD#: 16670
NEW YORK, NY
Past
April 19, 2024 - August 20, 2024
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
NEW YORK, NY
Past
December 11, 2023 - August 20, 2024
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEW YORK, NY
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".
TI
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.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(9/9/2024)
IAR
Alabama(9/9/2024)
RR
Alaska(9/9/2024)
IAR
Alaska(9/9/2024)
RR
Arizona(9/9/2024)
IAR
Arizona(9/18/2024)
RR
Arkansas(9/9/2024)
IAR
Arkansas(9/9/2024)
RR
California(9/9/2024)
IAR
California(9/9/2024)
RR
Colorado(9/9/2024)
IAR
Colorado(9/9/2024)
RR
Connecticut(9/9/2024)
IAR
Connecticut(9/9/2024)
RR
Delaware(9/9/2024)
IAR
Delaware(9/9/2024)
RR
District of Columbia(9/9/2024)
RR
Florida(9/9/2024)
RR
Georgia(9/9/2024)
IAR
Georgia(9/17/2024)
RR
Hawaii(9/9/2024)
IAR
Hawaii(9/9/2024)
RR
Idaho(9/9/2024)
IAR
Idaho(9/9/2024)
RR
Illinois(9/9/2024)
IAR
Illinois(9/9/2024)
RR
Indiana(9/9/2024)
IAR
Indiana(9/9/2024)
RR
Iowa(9/9/2024)
IAR
Iowa(9/9/2024)
RR
Kansas(9/9/2024)
IAR
Kansas(9/9/2024)
RR
Kentucky(9/9/2024)
IAR
Kentucky(9/9/2024)
RR
Louisiana(9/9/2024)
IAR
Louisiana(9/17/2024)
RR
Maine(9/9/2024)
IAR
Maine(9/9/2024)
RR
Maryland(9/9/2024)
IAR
Maryland(9/9/2024)
RR
Massachusetts(9/9/2024)
IAR
Massachusetts(11/12/2024)
RR
Michigan(9/9/2024)
IAR
Michigan(9/9/2024)
RR
Minnesota(9/9/2024)
IAR
Minnesota(9/9/2024)
RR
Mississippi(9/9/2024)
IAR
Mississippi(9/9/2024)
RR
Missouri(9/9/2024)
IAR
Missouri(9/9/2024)
RR
Montana(9/9/2024)
IAR
Montana(9/9/2024)
RR
Nebraska(9/9/2024)
IAR
Nebraska(9/9/2024)
RR
Nevada(9/9/2024)
IAR
Nevada(9/11/2024)
RR
New Hampshire(9/9/2024)
IAR
New Hampshire(9/9/2024)
RR
New Jersey(9/9/2024)
IAR
New Jersey(9/10/2024)
RR
New Mexico(9/9/2024)
IAR
New Mexico(9/10/2024)
RR
New York(9/9/2024)
IAR
New York(9/9/2024)
RR
North Carolina(9/9/2024)
IAR
North Carolina(9/9/2024)
RR
North Dakota(9/9/2024)
IAR
North Dakota(9/16/2024)
RR
Ohio(9/10/2024)
IAR
Ohio(9/10/2024)
RR
Oklahoma(9/9/2024)
IAR
Oklahoma(9/9/2024)
RR
Oregon(9/9/2024)
IAR
Oregon(9/17/2024)
RR
Pennsylvania(9/9/2024)
IAR
Pennsylvania(9/9/2024)
RR
Puerto Rico(9/9/2024)
IAR
Puerto Rico(9/9/2024)
RR
Rhode Island(9/9/2024)
IAR
Rhode Island(9/9/2024)
RR
South Carolina(9/9/2024)
IAR
South Carolina(9/9/2024)
RR
South Dakota(9/9/2024)
IAR
South Dakota(9/10/2024)
RR
Tennessee(9/9/2024)
RR
Texas(9/9/2024)
IAR
Texas(9/9/2024)
RR
Utah(9/9/2024)
IAR
Utah(9/10/2024)
RR
Vermont(9/9/2024)
IAR
Vermont(9/10/2024)
RR
Virgin Islands(9/9/2024)
IAR
Virgin Islands(9/10/2024)
RR
Virginia(9/9/2024)
IAR
Virginia(9/9/2024)
RR
Washington(9/9/2024)
IAR
Washington(9/9/2024)
RR
West Virginia(9/9/2024)
IAR
West Virginia(9/11/2024)
RR
Wisconsin(9/9/2024)
IAR
Wisconsin(9/9/2024)
RR
Wyoming(9/9/2024)
IAR
Wyoming(9/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/11/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TI
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)Upgrade to AdvisorCheck Premium
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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)
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.
