Javier Santos is a registered investment advisor, based in Los Angeles, CA, with 4 years of industry experience.
Location
515 South Flower Street, Los Angeles, CA, 90071
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Current Registrations
Tcw Funds Distributors LLC
February 2022 - Present · 4 yrs 2 mos
Tcw Investment Management Company LLC
February 2022 - Present · 4 yrs 2 mos
Tcw Funds Distributors LLCBroker
February 2022 - Present · 4 yrs 2 mos
Previous Registrations
Equitable Advisors, LLCBroker
November 2021 - February 2022 · 3 mos
State Registrations24 states
ARAZCAHIIDILINMAMEMIMNMONHNMNVNYOHORRIUTVTWAWIWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.