Shane J. Clifford
Professional summary
Shane Joseph Clifford, CIMA®, who also goes by Shane J Clifford, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.
Shane is registered as a RR (Registered Representative) and started their career in finance in 2001. Shane has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shane Joseph Clifford's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 17, 2023 - Present
TCG CAPITAL MARKETS L.L.C.
Office #1: 1 Vanderbilt Avenue Suite 3400, New York, NY 10017March 23, 2021 - January 27, 2023
FRANKLIN DISTRIBUTORS, LLC
January 8, 2019 - July 7, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
December 5, 2018 - July 7, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
May 3, 2016 - June 12, 2017
ENTRUST GLOBAL SECURITIES LLC
April 15, 2009 - May 6, 2016
FRANKLIN DISTRIBUTORS, LLC
November 8, 2006 - April 27, 2009
BLACKROCK INVESTMENT MANAGEMENT, LLC
November 8, 2006 - April 27, 2009
BLACKROCK INVESTMENTS, LLC
July 23, 2004 - October 12, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
July 23, 2004 - October 12, 2006
FAM DISTRIBUTORS, INC.
February 3, 2004 - July 7, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2003 - July 7, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 2001 - June 24, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
