METROPOLITAN WEST SECURITIES, LLC

CRD #30172 SEC #801-41762 LOS ANGELES, CA 310-979-6300

SEC Registered Broker-Dealer

Total AUM

$48.1B

Discretionary

$42.7B

Employees

Clients

Accounts

137

Firm Details

Organization Type: Limited Liability Company
State of Formation: --
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Sep 16, 2005
Branch Offices: --

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
CARLSON, CRAIG TAYLOR	I	CHIEF FINANCIAL OFFICER	NA
CARLSON, CRAIG TAYLOR	I	CHIEF FINANCIAL OFFICER	NA
CARLSON, CRAIG TAYLOR	I	CHIEF FINANCIAL OFFICER	NA
CARLSON, CRAIG TAYLOR	I	CHIEF FINANCIAL OFFICER	NA
CHOW, PAUL CHUNG	I	MANAGING DIRECTOR AND VICE CHAIRMAN	NA	Control
CHOW, PAUL CHUNG	I	MANAGING DIRECTOR AND VICE CHAIRMAN	NA	Control
CHOW, PAUL CHUNG	I	MANAGING DIRECTOR	NA	Control
CHOW, PAUL CHUNG	I	MANAGING DIRECTOR	NA	Control
CROW, TERRY MICHAEL	I	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	NA	Control
CROW, TERRY MICHAEL	I	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	NA	Control
CROW, TERRY MICHAEL	I	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	NA	Control
CROW, TERRY MICHAEL	I	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	NA	Control
CROW, TERRY MICHAEL	I	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	NA	Control
CROW, TERRY MICHAEL	I	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	NA	Control
CROW, TERRY MICHAEL	I	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	NA	Control
CURIEL, EDWARD EMILIO	I	MANAGING DIRECTOR AND CHIEF TECHNOLOGY OFFICER	NA	Control
CURIEL, EDWARD EMILIO	I	MANAGING DIRECTOR AND CHIEF TECHNOLOGY STRATEGIST	NA	Control
CURIEL, EDWARD EMILIO	I	MANAGING DIRECTOR AND CHIEF TECHNOLOGY STRATEGIST	NA	Control
CURIEL, EDWARD EMILIO	I	MANAGING DIRECTOR AND CHIEF TECHNOLOGY STRATEGIST	NA	Control
GOULD, RUSSELL SCOTT	I	DIRECTOR	NA	Control
GOULD, RUSSELL SCOTT	I	DIRECTOR (OR MANAGER)	NA	Control
HAYES, THOMAS WILLIAM	I	PRESIDENT AND DIRECTOR	NA	Control
HAYES, THOMAS WILLIAM	I	PRESIDENT (OR DIRECTOR)	NA	Control
HAYES, THOMAS WILLIAM	I	PRESIDENT	NA	Control
HOLLANDER, RICHARD SCOTT	I	CHAIRMAN AND CHEIF EXECUTIVE OFFICER	NA	Control
HOLLANDER, RICHARD SCOTT	I	CEO/CHAIRMAN/MANAGER	NA	Control
HOLLANDER, RICHARD SCOTT	I	BOARD MEMBER	NA	Control
HOLLANDER, RICHARD SCOTT	I	BOARD MEMBER	NA	Control
MACKIN, THOMAS JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
MACKIN, THOMAS JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
MACKIN, THOMAS JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
MACKIN, THOMAS JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
MARCUS, PAUL BERNARD	I	MANAGING DIRECTOR	NA	Control
MARCUS, PAUL BERNARD	I	MANAGING DIRECTOR	NA	Control
MARCUS, PAUL BERNARD	I	MANAGING DIRECTOR	NA	Control
MARCUS, PAUL BERNARD	I	MANAGING DIRECTOR	NA	Control
MOLINARI, LOUIS V	I	PRESIDENT-OFFICE OF RELATIONSHIP MANAGEMENT	NA	Control
MOLINARI, LOUIS V	I	PRESIDENT-OFFICE OF RELATIONSHIP MANAGEMENT	NA	Control
MOLINARI, LOUIS V	I	MANAGING DIRECTOR	NA	Control
MOLINARI, LOUIS V	I	MANAGING DIRECTOR, SALES & MARKETING	NA	Control
MOLINARI, LOUIS V	I	MANAGING DIRECTOR, SALES & MARKETING	NA	Control
MOLINARI, LOUIS V	I	MANAGING DIRECTOR	NA	Control
MOLINARI, LOUIS V	I	PRESIDENT-OFFICE OF RELATIONSHIP MANAGEMENT	NA	Control
MURPHY, DANIEL THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
MURPHY, DANIEL THOMAS	I	MANAGEMENT COMMITTEE MEMBER	NA	Control
MURPHY, DANIEL THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
MURPHY, DANIEL THOMAS	I	MANAGEMENT COMMITTEE MEMBER	NA	Control
MURPHY, DANIEL THOMAS	I	MANAGING DIRECTOR	NA	Control
MURPHY, DANIEL THOMAS	I	CHIEF RISK & COMPLIANCE OFFICER	NA	Control
MURPHY, DANIEL THOMAS	I	MANAGEMENT COMMITTEE MEMBER	NA	Control
MURPHY, DANIEL THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
MURPHY, DANIEL THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
MURPHY, DANIEL THOMAS	I	SENIOR VICE PRESIDENT	NA	Control
MURPHY, DANIEL THOMAS	I	CHIEF RISK & COMPLIANCE OFFICER	NA	Control
MURPHY, DANIEL THOMAS	I	MANAGEMENT COMMITTEE MEMBER	NA	Control
MURPHY, DANIEL THOMAS	I	SENIOR VICE PRESIDENT	NA	Control
OCONNOR, KEVIN JOSEPH	I	SENIOR VICE PRESIDENT	NA	Control
OCONNOR, KEVIN JOSEPH	I	SENIOR VICE PRESIDENT	NA	Control
RUPERT, GARY FRANCIS	I	CHIEF EXECUTIVE OFFICER	NA	Control
RUPERT, GARY FRANCIS	I	CHIEF EXECUTIVE OFFICER	NA	Control
RUPERT, GARY FRANCIS	I	CO-CHIEF OPERATING OFFICER, MANAGING DIRECTOR	NA	Control
RUPERT, GARY FRANCIS	I	CHIEF EXECUTIVE OFFICER	NA	Control
RUPERT, GARY FRANCIS	I	CHIEF EXECUTIVE OFFICER	NA	Control
RUPERT, GARY FRANCIS	I	CO-CHIEF OPERATING OFFICER, MANAGING DIRECTOR	NA	Control
RUPERT, GARY FRANCIS	I	CHIEF EXECUTIVE OFFICER	NA	Control
SCHWEITZER, RICHARD HARLAN	I	CHIEF FINANCIAL OFFICER	NA	Control
SCHWEITZER, RICHARD HARLAN	I	CHIEF OPERATING OFFICER & MANAGEMENT COMMITTEE MEMBER	NA	Control
SCHWEITZER, RICHARD HARLAN	I	CHIEF FINANCIAL OFFICER	NA	Control
SCHWEITZER, RICHARD HARLAN	I	CHIEF OPERATING OFFICER & MANAGEMENT COMMITTEE MEMBER	NA	Control
SCHWEITZER, RICHARD HARLAN	I	CHIEF OPERATING OFFICER	NA	Control
SCHWEITZER, RICHARD HARLAN	I	CHIEF OPERATING OFFICER & MANAGEMENT COMMITTEE MEMBER	NA	Control
SCHWEITZER, RICHARD HARLAN	I	CO-CHIEF OPERATING OFFICER	NA	Control
SCHWEITZER, RICHARD HARLAN	I	CHIEF FINANCIAL OFFICER	NA	Control
SCHWEITZER, RICHARD HARLAN	I	CHIEF OPERATING OFFICER & MANAGEMENT COMMITTEE MEMBER	NA	Control
WOMACK, ROBERT REID JR	I	MANAGING DIRECTOR	NA	Control
WOMACK, ROBERT REID JR	I	MANAGING DIRECTOR	NA	Control
WOMACK, ROBERT REID JR	I	MANAGING DIRECTOR	NA	Control
WOMACK, ROBERT REID JR	I	MANAGING DIRECTOR	NA	Control
WOMACK, ROBERT REID JR	I	MANAGING DIRECTOR	NA	Control
WOMACK, ROBERT REID JR	I	MANAGING DIRECTOR	NA	Control
WOMACK, ROBERT REID JR	I	MANAGING DIRECTOR	NA	Control
WOMACK, ROBERT REID JR	I	MANAGING DIRECTOR	NA	Control
WOMACK, ROBERT REID JR	I	MANAGING DIRECTOR	NA	Control
WOMACK, ROBERT REID JR	I	MANAGING DIRECTOR	NA	Control
METROPOLITAN WEST FINANCIAL, INC.	DE	100% SHAREHOLDER	E	Control
METROPOLITAN WEST FINANCIAL, INC.	DE	100% OWNER	E	Control
WACHOVIA BANK NA	DE	DIRECT OWNER	E	Control
WACHOVIA BANK NA	DE	DIRECT OWNER	E	Control
WACHOVIA BANK NA	DE	DIRECT OWNER	E	Control
WACHOVIA BANK NA	DE	DIRECT OWNER	E	Control
WACHOVIA BANK NA	DE	DIRECT OWNER	E	Control
WACHOVIA BANK NA	DE	DIRECT OWNER	E	Control
METROPOLITAN WEST FINANCIAL, LLC	DE	INTEREST OWNER	D	Control
METROPOLITAN WEST FINANCIAL, LLC	DE	INTEREST OWNER	D	Control
CROW, TERRY MICHAEL	I	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	A	Control
CROW, TERRY MICHAEL	I	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	A	Control
CROW, TERRY MICHAEL	I	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	A	Control
MOLINARI, LOUIS V	I	PRESIDENT-OFFICE OF RELATIONSHIP MANAGEMENT	A	Control
MOLINARI, LOUIS V	I	MANAGING DIRECTOR	A	Control
MOLINARI, LOUIS V	I	MANAGING DIRECTOR	A	Control
RUPERT, GARY FRANCIS	I	CHIEF EXECUTIVE OFFICER	A	Control
RUPERT, GARY FRANCIS	I	CO-CHIEF OPERATING OFFICER, MANAGING DIRECTOR	A	Control
RUPERT, GARY FRANCIS	I	CO-CHIEF OPERATING OFFICER, MANAGING DIRECTOR	A	Control
SCHWEITZER, RICHARD HARLAN	I	CHIEF FINANCIAL OFFICER	A	Control
SCHWEITZER, RICHARD HARLAN	I	CO-CHIEF OPERATING OFFICER	A	Control
SCHWEITZER, RICHARD HARLAN	I	CO-CHIEF OPERATING OFFICER	A	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
HOLLANDER, RICHARD SCOTT	I	MW HOLDINGS, LLC	E	Control
HOLLANDER, RICHARD SCOTT	I	MW HOLDINGS, LLC	E	Control
MW HOLDINGS, LLC	DE	METROPOLITAN WEST FINANCIAL, LLC	E	Control
MW HOLDINGS, LLC	DE	METROPOLITAN WEST FINANCIAL, LLC	E	Control
WACHOVIA BANK, NA	DE	EVERGREEN INVESTMENT COMPANY, INC.	E	Control
WACHOVIA CORPORATION	DE	WACHOVIA BANK, NA	E	Control
WACHOVIA CORPORATION	DE	WACHOVIA BANK, NA	E	Control
HOLLANDER, RICHARD SCOTT	I	METROPOLITAN WEST FINANCIAL, INC.	C	Control
HOLLANDER, RICHARD SCOTT	I	METROPOLITAN WEST FINANCIAL, INC.	C	Control

Registrations

Federal

Sep 16, 2005 REGISTERED

Notice Filings (7)

CA FL GA NJ PA TX WA

Address

11440 SAN VICENTE BLVD, 3RD FLOOR
LOS ANGELES, CA 90049
USA

Phone: 310-979-6300