Douglas Mcneely
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Mcneely, who also goes by Douglas Eric Mcneely, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1986. Douglas had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2022 - January 12, 2024
TCG CAPITAL MARKETS L.L.C.
November 9, 2012 - August 17, 2022
BLACKROCK INVESTMENTS, LLC
March 12, 2010 - October 15, 2012
COMMONFUND SECURITIES, INC.
September 10, 2007 - March 29, 2010
MORGAN STANLEY INVESTMENT ADVISORS INC.
October 31, 2006 - March 29, 2010
MORGAN STANLEY DISTRIBUTION, INC.
September 7, 2004 - December 1, 2006
MORGAN STANLEY & CO. LLC
October 17, 2003 - September 14, 2004
THE WILLIAMS CAPITAL GROUP, L.P.
April 12, 1994 - December 12, 2001
GOLDMAN SACHS & CO. LLC
March 14, 1986 - April 6, 1994
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TCG CAPITAL MARKETS L.L.C.
CRD#: 291767 / SEC#: , 8-70061
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLYLE INVESTMENT MANAGEMENT, L.L.C. | MEMBER | |
| KRZAK, ALEXANDER JACOB | PRINCIPAL OPERATIONS OFFICER | 6349160 |
| LEFKOWITZ, JOSHUA ADAM | OFFICER | 7216783 |
| LOWENTHAL, MITCHELL NEAL | CO-CHIEF COMPLIANCE OFFICER | 6939241 |
| PLOUFFE, JUSTIN | CEO | 6223477 |
| QIAN, LIANGSHUN | CO-CHIEF COMPLIANCE OFFICER | 7247412 |
| RIORDAN, TIFFANY | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 6313437 |
Red Flags
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