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PF

Philip B. Fowler

TCG CAPITAL MARKETS L.L.C.
New York, NY 10166
Some features on this profile are disabled
CRD#: 3247765
PF

Professional summary

Philip Brett Fowler, who also goes by Brett Fowler, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.

Philip is registered as a RR (Registered Representative) and started their career in finance in 2002. Philip has worked at 11 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brett Fowler

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip Brett Fowler's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 19, 2026 - Present

TCG CAPITAL MARKETS L.L.C.

Office #1: 200 Park Avenue Suite 450, New York, NY 10166
BD
CRD#: 291767
New York, NY
Past

September 27, 2024 - April 20, 2026

ATHENE SECURITIES, LLC

BD
CRD#: 36867
WEST DES MOINES, IA
Past

August 16, 2024 - April 20, 2026

APOLLO GLOBAL SECURITIES, LLC

BD
CRD#: 153502
NEW YORK, NY
Past

January 5, 2022 - March 13, 2026

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
IRVINE, CA
Past

December 15, 2020 - November 2, 2021

HRC FUND ASSOCIATES, LLC

BD
CRD#: 142846
NEW YORK, NY
Past

January 24, 2020 - December 17, 2020

FORGE SECURITIES LLC

BD
CRD#: 134596
SAN FRANCISCO, CA
Past

August 13, 2018 - December 31, 2019

CR CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 171776
NEWPORT BEACH, CA
Past

July 11, 2006 - August 3, 2018

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

June 2, 2006 - July 12, 2006

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
LOS ANGELES, CA
Past

August 31, 2005 - June 6, 2006

TBG FINANCIAL

BD
CRD#: 26984
LOS ANGELES, CA
Past

March 19, 2002 - December 10, 2004

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/19/2026)
RR
Alaska
(5/19/2026)
RR
Arizona
(5/19/2026)
RR
Arkansas
(5/19/2026)
RR
California
(5/19/2026)
RR
Colorado
(5/19/2026)
RR
Connecticut
(5/19/2026)
RR
Delaware
(5/19/2026)
RR
District of Columbia
(5/19/2026)
RR
Florida
(5/19/2026)
RR
Georgia
(5/19/2026)
RR
Hawaii
(5/19/2026)
RR
Idaho
(5/19/2026)
RR
Illinois
(5/19/2026)
RR
Indiana
(5/19/2026)
RR
Iowa
(5/19/2026)
RR
Kansas
(5/19/2026)
RR
Kentucky
(5/19/2026)
RR
Louisiana
(5/19/2026)
RR
Maine
(5/19/2026)
RR
Maryland
(5/19/2026)
RR
Massachusetts
(5/19/2026)
RR
Michigan
(5/19/2026)
RR
Minnesota
(5/19/2026)
RR
Mississippi
(5/19/2026)
RR
Missouri
(5/19/2026)
RR
Montana
(5/19/2026)
RR
Nebraska
(5/19/2026)
RR
Nevada
(5/19/2026)
RR
New Hampshire
(5/19/2026)
RR
New Jersey
(5/19/2026)
RR
New Mexico
(5/19/2026)
RR
New York
(5/19/2026)
RR
North Carolina
(5/19/2026)
RR
North Dakota
(5/19/2026)
RR
Oklahoma
(5/19/2026)
RR
Oregon
(5/19/2026)
RR
Pennsylvania
(5/19/2026)
RR
Puerto Rico
(5/19/2026)
RR
Rhode Island
(5/19/2026)
RR
South Carolina
(5/19/2026)
RR
South Dakota
(5/19/2026)
RR
Tennessee
(5/19/2026)
RR
Texas
(5/19/2026)
RR
Utah
(5/19/2026)
RR
Vermont
(5/19/2026)
RR
Virgin Islands
(5/19/2026)
RR
Virginia
(5/19/2026)
RR
Washington
(5/19/2026)
RR
West Virginia
(5/19/2026)
RR
Wisconsin
(5/19/2026)
RR
Wyoming
(5/19/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 5/9/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/18/2002
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TCG CAPITAL MARKETS L.L.C.
TCG CAPITAL MARKETS L.L.C.

CRD#: 291767 / SEC#: , 8-70061

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Loading...

Contact information

Main Address
1 Vanderbilt Avenue Suite 3400, New York, NY 10017
Mailing Address
1 Vanderbilt Avenue Suite 3400, New York, NY 10017
Phone number
(212) 813-4900
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CARLYLE INVESTMENT MANAGEMENT, L.L.C.MEMBER
KRZAK, ALEXANDER JACOBPRINCIPAL OPERATIONS OFFICER6349160
LEFKOWITZ, JOSHUA ADAMOFFICER7216783
LOWENTHAL, MITCHELL NEALCO-CHIEF COMPLIANCE OFFICER6939241
PLOUFFE, JUSTINCEO6223477
QIAN, LIANGSHUNCO-CHIEF COMPLIANCE OFFICER7247412
RIORDAN, TIFFANYFINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER6313437

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.

Company Information

TCG CAPITAL MARKETS L.L.C.

CRD#: 291767New York, NY 10166

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