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Thomas Yen-hsi Kuo

TCW Investment Management Co. LLC

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About Thomas Yen-hsi Kuo

Thomas Kuo, Yen-hsi is a financial advisor with over 10 years of experience. Currently, Thomas Kuo, Yen-hsi is a Registered Investment Advisor Representative with TCW Investment Management Co. LLC in Los Angeles, California. Previously, Thomas Kuo, Yen-hsi was affiliated with RIM Securities LLC. Thomas Kuo, Yen-hsi has passed the Uniform Combined State Law Examination (Series 66), Securities Industry Essentials Examination (SIE) and General Securities Representative Examination (Series 7). Thomas Kuo, Yen-hsi is registered in California and has expertise in portfolio management for individuals, businesses, investment companies and pooled investment vehicles.

Firm Information

Thomas Kuo is currently registered with TCW Investment Management Co. LLC. TCW Investment Management Co. LLC is an investment advisor based in Los Angeles, California. They manage a broad range of investment portfolios for individuals, businesses, and pooled investment vehicles, including insurance companies, investment companies, charitable organizations, pension plans, and high-net-worth individuals. They also provide portfolio management for wrap fee programs. The firm has approximately $39.9 billion in regulatory assets under management.
TCW Investment Management Co. LLC

515 SOUTH FLOWER STREET

LOS ANGELES, CA 90071

$39.90B

Assets Under Management

7,162

Total Clients

33

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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portfolio management for wrap fee programs

Portfolio management for wrap fee programs

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Thomas Kuo’s Registration & Firm History

CA

03/09/2023 - Present

TCW Investment Management Co. LLC (LOS ANGELES CA)

CA

01/29/2013 - 02/26/2014

RIM SECURITIES LLC (BEVERLY HILLS CA)

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Licenses & Designations

BOTH

Issued 03/20/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/28/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Yen-hsi Kuo.
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