Robert Maxwell Hanisee
Professional Summary
Robert Maxwell Hanisee was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1981 - 2016. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
54 years in the financial services industry
Current & Past Employments
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Current Firm
KENTER SECURITIES CORPORATION | TCW FUNDS DISTRIBUTORS LLC | TCW FUNDS DISTRIBUTORS | TCW BROKERAGE SERVICES
Contact Information
Main Address
515 South Flower Street, Los Angeles, CA 90071Mailing Address
515 South Flower Street, Los Angeles, CA 90071Phone Number
(213) 244-0000Established
Delaware since 04/01/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Mar 1986Series 41 — NYSE Allied Member Examination
Passed Mar 1978Series 40 — Registered Principal Examination
Passed May 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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