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Pimco Investments Llc Crd# 154957 BrokerCheck Report PIMCO INVESTMENTS LLC CRD# 154957 Section Title Page(s) Report Summary 1 Firm Profile 2 - 12 Firm History 13 Firm Operations 14 - 38 i Please be aware that fraudsters may link to BrokerCheck from phishing and similar scam websites, trying to steal your personal information or your money. Make sure you know who you’re dealing with when investing, and contact FINRA with any concerns. For more information read our investor alert on imposters. About BrokerCheck® BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and former registered securities firms. 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Under most circumstances, information reported by brokerage firms, brokers provides a glossary of terms and a and regulators is available in BrokerCheck the next business day. list of frequently asked questions, · What if I want to check the background of an investment adviser firm or investment adviser as well as additional resources. representative? For more information about · To check the background of an investment adviser firm or representative, you can search for the firm or FINRA, visit www.finra.org. individual in BrokerCheck. If your search is successful, click on the link provided to view the available licensing and registration information in the SEC's Investment Adviser Public Disclosure (IAPD) website at https://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your state securities regulator at http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414. · Are there other resources I can use to check the background of investment professionals? · FINRA recommends that you learn as much as possible about an investment professional before deciding to work with them. Your state securities regulator can help you research brokers and investment adviser representatives doing business in your state. · Thank you for using FINRA BrokerCheck. www.finra.org/brokercheck User Guidance PIMCO INVESTMENTS LLC Report Summary for this Firm CRD# 154957 SEC# 8-68686 This report summary provides an overview of the brokerage firm. Additional information for this firm can be found in the detailed report. Main Office Location Firm Profile Disclosure Events 1633 BROADWAY This firm is classified as a limited liability company. 45TH FLOOR This firm was formed in Delaware on 07/07/2010. Brokerage firms are required to disclose certain NEW YORK, NY 10019 criminal matters, regulatory actions, civil judicial Regulated by FINRA New York Office Its fiscal year ends in December. proceedings and financial matters in which the firm or Mailing Address Firm History one of its control affiliates has been involved. 1633 BROADWAY Information relating to the brokerage firm's history Are there events disclosed about this firm? No 45TH FLOOR such as other business names and successions NEW YORK, NY 10019 (e.g., mergers, acquisitions) can be found in the Business Telephone Number detailed report. 212.739.3000 Firm Operations This firm is registered with: • the SEC • 1 Self-Regulatory Organization • 53 U.S. states and territories Is this brokerage firm currently suspended with any regulator? No This firm conducts 4 types of businesses. This firm is affiliated with financial or investment institutions. This firm does not have referral or financial arrangements with other brokers or dealers. ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 1 www.finra.org/brokercheck User Guidance Firm Profile This firm is classified as a limited liability company. This firm was formed in Delaware on 07/07/2010. Its fiscal year ends in December. Firm Names and Locations This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailing addresses, telephone number, and any alternate name by which the firm conducts business and where such name is used. PIMCO INVESTMENTS LLC Doing business as PIMCO INVESTMENTS LLC CRD# 154957 SEC# 8-68686 Main Office Location 1633 BROADWAY 45TH FLOOR NEW YORK, NY 10019 Regulated by FINRA New York Office Mailing Address 1633 BROADWAY 45TH FLOOR NEW YORK, NY 10019 Business Telephone Number 212.739.3000 ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 2 www.finra.org/brokercheck User Guidance Firm Profile This section provides information relating to all direct owners and executive officers of the brokerage firm. Direct Owners and Executive Officers Legal Name & CRD# (if any): PACIFIC INVESTMENT MANAGEMENT COMPANY LLC 104559 Is this a domestic or foreign Domestic Entity entity or an individual? Position SOLE MEMBER Position Start Date 07/2010 Percentage of Ownership 75% or more Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): BURG, ANTHONY ALAN 6005184 Is this a domestic or foreign Individual entity or an individual? Position TREASURER Position Start Date 02/2020 Percentage of Ownership Less than 5% Does this owner direct the No management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): DUBITZKY, YITZHAK ZVI 6897287 Is this a domestic or foreign Individual entity or an individual? Position CHIEF COMPLIANCE OFFICER, CHIEF LEGAL OFFICER & SECRETARY Position Start Date 05/2019 ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 3 www.finra.org/brokercheck User Guidance Firm Profile Direct Owners and Executive Officers (continued) Position Start Date 05/2019 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): FERRARI, DAVID RICHARD 6004690 Is this a domestic or foreign Individual entity or an individual? Position PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL Position Start Date 10/2019 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): FOURNIER, JOSEPH ARTHUR 4000177 Is this a domestic or foreign Individual entity or an individual? Position MANAGER, BOARD OF MANAGERS Position Start Date 02/2021 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 4 www.finra.org/brokercheck User Guidance Firm Profile Direct Owners and Executive Officers (continued) Legal Name & CRD# (if any): HALL, GREGORY WESTON 3111343 Is this a domestic or foreign Individual entity or an individual? Position MANAGER, BOARD OF MANAGERS Position Start Date 02/2020 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): HARRY, SEON LYNDON 3102054 Is this a domestic or foreign Individual entity or an individual? Position AML COMPLIANCE OFFICER Position Start Date 07/2020 Percentage of Ownership Less than 5% Does this owner direct the No management or policies of the firm? Is this a public reporting No company? Legal Name & CRD# (if any): PITTERS, CALEB JOSEPH ALEXANDER JR 3198603 Is this a domestic or foreign Individual entity or an individual? Position MANAGER, BOARD OF MANAGERS Position Start Date 02/2020 Percentage of Ownership Less than 5% ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 5 www.finra.org/brokercheck User Guidance Firm Profile Direct Owners and Executive Officers (continued) Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?
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