Thomas F. Stanton
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.
Thomas Fuller Stanton, who also goes by Tom Stanton, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3, Series 7, Series 6 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - July 18, 2024
TCG CAPITAL MARKETS L.L.C.
January 10, 2020 - December 31, 2021
FORESIDE FUND SERVICES, LLC
May 21, 2015 - January 10, 2020
TCG SECURITIES, L.L.C.
June 12, 2014 - April 24, 2015
FORESIDE FUND SERVICES, LLC
June 18, 2013 - June 13, 2014
TCG SECURITIES, L.L.C.
April 14, 2009 - November 15, 2012
DCM BROKERS, LLC
April 6, 2004 - August 29, 2008
UBS FINANCIAL SERVICES INC.
April 6, 2004 - August 29, 2008
UBS FINANCIAL SERVICES INC.
December 15, 2003 - March 2, 2004
PERSHING LLC
May 21, 2001 - March 2, 2004
BNY ADVISORS
February 27, 2001 - December 15, 2003
LOCKWOOD FINANCIAL SERVICES, INC.
November 18, 1999 - February 16, 2001
NYLIFE DISTRIBUTORS LLC
June 19, 1998 - August 18, 1999
CALVERT INVESTMENT DISTRIBUTORS, INC.
November 16, 1994 - June 3, 1998
MML INVESTORS SERVICES, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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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