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Detailed Report
ELIZABETH LYNNE DEVEAU
ELIZABETH LYNNE WAGNER
CRD#: 5278209
IA
Investment Adviser
B
Broker
TCW INVESTMENT MANAGEMENT COMPANY LLCCRD#: 106546 Highlands Ranch, CO
TCW FUNDS DISTRIBUTORS LLCCRD#: 16670 Highlands Ranch, CO
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2024 - Present (<1 year)BBLACKROCK INVESTMENTS, LLC (CRD# 38642)2012 - 2024 (12 years)BBLACKROCK FUND DISTRIBUTION CO... (CRD# 146183)2009 - 2011 (2 years)IABLACKROCK FUND ADVISORS (CRD# 105247)2009 - 2024 (15 years)
License(s)

State Registrations

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Alabama 10/14/2024
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Montana 10/14/2024
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Alabama 10/14/2024
B
Nebraska 10/14/2024
B
Alaska 10/14/2024
IA
Nebraska 10/16/2024
IA
Alaska 10/14/2024
B
Nevada 10/14/2024
B
Arizona 10/14/2024
IA
Nevada 10/14/2024
IA
Arizona 10/24/2024
B
New Hampshire 10/14/2024
B
Arkansas 10/14/2024
IA
New Hampshire 10/14/2024
IA
Arkansas 10/14/2024
B
New Jersey 10/14/2024
B
California 10/14/2024
IA
New Jersey 10/15/2024
IA
California 10/14/2024
B
New Mexico 10/14/2024
B
Colorado 10/14/2024
IA
New Mexico 10/15/2024
IA
Colorado 10/14/2024
B
New York 10/14/2024
B
Connecticut 10/14/2024
IA
New York 10/14/2024
IA
Connecticut 10/14/2024
B
North Carolina 10/14/2024
B
Delaware 10/14/2024
IA
North Carolina 10/14/2024
IA
Delaware 10/14/2024
B
North Dakota 10/14/2024
B
District of Columbia 10/14/2024
IA
North Dakota 10/21/2024
IA
District of Columbia 1/15/2025
B
Ohio 10/15/2024
B
Florida 10/14/2024
IA
Ohio 10/15/2024
B
Georgia 10/14/2024
B
Oklahoma 10/14/2024
IA
Georgia 10/16/2024
IA
Oklahoma 10/14/2024
B
Hawaii 10/14/2024
B
Oregon 10/14/2024
IA
Hawaii 10/14/2024
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Oregon 1/3/2025
B
Idaho 10/14/2024
B
Pennsylvania 10/14/2024
IA
Idaho 10/14/2024
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Pennsylvania 10/14/2024
B
Illinois 10/14/2024
B
Puerto Rico 10/14/2024
IA
Illinois 10/14/2024
IA
Puerto Rico 10/14/2024
B
Indiana 10/14/2024
B
Rhode Island 10/14/2024
IA
Indiana 10/14/2024
IA
Rhode Island 10/14/2024
B
Iowa 10/14/2024
B
South Carolina 10/14/2024
IA
Iowa 10/14/2024
IA
South Carolina 10/14/2024
B
Kansas 10/14/2024
B
South Dakota 10/14/2024
IA
Kansas 10/14/2024
IA
South Dakota 10/15/2024
B
Kentucky 10/14/2024
B
Tennessee 10/14/2024
IA
Kentucky 10/14/2024
B
Texas 10/14/2024
B
Louisiana 10/14/2024
IA
Texas 10/14/2024
IA
Louisiana 10/30/2024
B
Utah 10/14/2024
B
Maine 10/14/2024
IA
Utah 10/15/2024
IA
Maine 10/14/2024
B
Vermont 10/14/2024
B
Maryland 10/14/2024
IA
Vermont 10/14/2024
IA
Maryland 10/14/2024
B
Virgin Islands 10/14/2024
B
Massachusetts 10/14/2024
IA
Virgin Islands 10/16/2024
IA
Massachusetts 11/5/2024
B
Virginia 10/14/2024
B
Michigan 10/14/2024
IA
Virginia 10/14/2024
IA
Michigan 10/14/2024
B
Washington 10/14/2024
B
Minnesota 10/14/2024
IA
Washington 10/14/2024
IA
Minnesota 10/14/2024
B
West Virginia 10/14/2024
B
Mississippi 10/14/2024
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West Virginia 10/16/2024
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Mississippi 10/14/2024
B
Wisconsin 10/14/2024
B
Missouri 10/14/2024
IA
Wisconsin 10/14/2024
IA
Missouri 10/14/2024
B
Wyoming 10/14/2024
B
Montana 10/14/2024
IA
Wyoming 10/14/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
TCW FUNDS DISTRIBUTORS LLC (CRD#:16670)
Highlands Ranch, CO
Registered with this firm since 10/14/2024
IA
TCW INVESTMENT MANAGEMENT COMPANY LLC (CRD#:106546)
Highlands Ranch, CO
Registered with this firm since 10/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/27/2009 - 10/01/2024 BLACKROCK FUND ADVISORS (CRD#:105247) SAN FRANCISCO, CA
B
 01/03/2012 - 10/01/2024 BLACKROCK INVESTMENTS, LLC (CRD#:38642) SAN FRANCISCO, CA
B
 10/26/2009 - 12/31/2011 BLACKROCK FUND DISTRIBUTION COMPANY (CRD#:146183) SAN FRANCISCO, CA
IA
 10/14/2008 - 09/25/2009 NUVEEN ASSET MANAGEMENT (CRD#:104626) CHICAGO, IL
B
 10/14/2008 - 09/25/2009 NUVEEN INVESTMENTS, LLC (CRD#:469) CHICAGO, IL
IA
 03/21/2007 - 09/17/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHICAGO, IL
B
 03/07/2007 - 09/17/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.