Christine An, financial advisor Los Angeles CA
96 score

Christine An

CRD Number: 5477301
Current Firm: Tcw Investment Management Company LLC

Christine An (CRD# 5477301) is an Investment Advisor Representative working at Tcw Investment Management Company LLC in Los Angeles, CA and has over 8 years of experience in the finance industry. Christine An has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Tcw LLC Los Angeles, CA Jan 2016 - Current < 1
Tcw Funds Distributors Los Angeles, CA Nov 2014 - Current 2
Trust Company Of The West Los Angeles, CA Nov 2014 - Dec 2015 1
Hsbc Securities (usa) Inc. Beverly Hills, CA Nov 2013 - Oct 2014 < 1
Hsbc Bank Usa, N.a. Beverly Hills, CA Nov 2013 - Oct 2014 < 1
Imperial Capital, LLC Los Angeles, CA Aug 2013 - Oct 2013 < 1
Unemployed Los Angeles, CA Apr 2013 - Aug 2013 < 1
Capital Brokerage Corporation Encino, CA Dec 2011 - Apr 2013 1
Genworth Financial Encino, CA Dec 2011 - Apr 2013 1
Fidelity Investments Santa Monica, CA Jun 2010 - Dec 2011 1
U.s. Bancorp Investments, Inc. Torrance, CA Dec 2009 - Jun 2010 < 1
Uci Irvine, CA Jul 2009 - Dec 2009 < 1
Unemployed Cerritos, CA Mar 2009 - Jun 2009 < 1
Aig Sunamerica Woodland Hills, CA Jul 2008 - Feb 2009 < 1
Aig Sunamerica Capital Services, Inc. Woodland Hills, CA Jul 2008 - Feb 2009 < 1
Citi Smith Barney Irvine, CA Mar 2008 - Jun 2008 < 1
Uci Irvine, CA Jun 2006 - Jun 2008 2
Raymond James And Associates Newport Beach, CA Dec 2007 - Mar 2008 < 1
Forval International Newport Beach, CA Sep 2007 - Dec 2007 < 1
Jeanette C. Justus Associates Newport Beach, CA Oct 2006 - May 2007 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2008
S66 NASAA Uniform Combined State Law Examination Nov 2010
Contact Info for Christine An
Phone Number: 213-244-0000
Firm Website: http://www.tcw.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    34,220
    MILLIONS
  • Total Number of Accounts
    87
    ACCOUNTS
  • Average Account Value
    $393,329,412
Compensation Options
  • A percentage of assets under your management
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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