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Robert M. Hanisee

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CRD#: 831734
RH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Maxwell Hanisee was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 2 firms and has passed the Series 65, Series 63, SIE, PC, Series 41, Series 7, Series 16 and Series 40 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 1, 1992 - April 29, 2016

TCW FUNDS DISTRIBUTORS LLC

BD
CRD#: 16670
LOS ANGELES, CA
Past

January 26, 1981 - May 4, 1990

THE SEIDLER COMPANIES INCORPORATED

BD
CRD#: 3911
LOS ANGELES, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/7/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/31/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/29/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 3/6/1986
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 41
Date: 3/20/1978
NYSE Allied Member Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/1976
General Securities Representative Examination
General Industry/Product Exam
RR
Series 16
Date: 5/15/1972
NYSE Supervisory Analyst Examination
Principal/Supervisory Exam
RR
Series 40
Date: 5/15/1978
Registered Principal Examination

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#: 16670

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