LC
Louis J. Cuomo
TSG ALPHA PARTNERS
Jersey City, NJ 07306
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CRD#: 4058531
LC
Professional summary
Louis Joseph Cuomo, who also goes by Louis Joseph Cuomo, Louis J Cuomo, is a registered financial advisor currently at TSG ALPHA PARTNERS, LLC located in Jersey City, New Jersey and TSG CAPITAL ADVISORS located in Ronkonkoma, New York.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Louis has worked at 9 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Louis Joseph Cuomo | Louis J Cuomo
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.
Name of the other business: TSG Strategic Secondary Fund 2, LLC, Investment-related? Yes, Address of other business: 3275 Veterans Memorial Highway, Suite B9, Ronkonkoma, NY 11779, Nature of the other business: Venture Capital, Position, title, or relationship with the other business: Member/Advisor, Start Date: May 2023, Approximate number of hours/month you devote to the other business: Approx. 30 to 40 hours per month, Number of hours you devote to the other business during securities trading hours: Approx. 30 to 40 hours per month, Duties relating to the other business: Advisor 1. OAKLAND COUNTRY DAY SCHOOL, HOSTING A TEACHER FOR AT HOME LEARNING FOR CHILDREN
CRS (Client Relationship Summary) - RIA
Click below to view Louis Joseph Cuomo's 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®
NoneExperience
Current
October 27, 2023 - Present
TSG ALPHA PARTNERS, LLC
Office #1: 35 Journal Square, Jersey City, NJ 07306RIA
CRD#: 319493
Jersey City, NJ
Current
November 27, 2023 - Present
TSG CAPITAL ADVISORS
Office #1: 3275 Veterans Memorial Highway Suite B-9, Ronkonkoma, NY 11779BD
CRD#: 147509
Ronkonkoma, NY
Past
February 17, 2021 - November 24, 2021
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
VERONA, NJ
Past
February 16, 2021 - November 24, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
VERONA, NJ
Past
May 15, 2018 - December 18, 2020
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
CEDAR GROVE, NJ
Past
May 15, 2018 - December 18, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CEDAR GROVE, NJ
Past
September 13, 2016 - May 18, 2018
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
LIVINGSTON, NJ
Past
September 7, 2016 - May 18, 2018
SANTANDER SECURITIES LLC
BD
CRD#: 41791
LIVINGSTON, NJ
Past
November 19, 2014 - September 1, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BUTLER, NJ
Past
August 7, 2014 - September 1, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BUTLER, NJ
Past
May 22, 2013 - July 31, 2014
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 1, 2008 - May 20, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
April 4, 2005 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TSG ALPHA PARTNERS, LLC
TSG ALPHA | TSG ALPHA PARTNERS, LLC
CRD#: 319493 / SEC#: 801-131801
RIA
Registered Investment Advisory firm - (2/7/2025 Approved)Florida
Registered Investment Advisory firm - (2/18/2025 Terminated)Louisiana
Registered Investment Advisory firm - (2/18/2025 Terminated)New Jersey
Registered Investment Advisory firm - (2/27/2025 Terminated)New York
Registered Investment Advisory firm - (2/18/2025 Terminated)Texas
Registered Investment Advisory firm - (2/18/2025 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(12/23/2024)
RR
Arkansas(12/13/2024)
RR
California(5/20/2025)
RR
Colorado(1/21/2025)
RR
Connecticut(6/6/2025)
RR
District of Columbia(9/3/2025)
RR
Florida(2/3/2025)
RR
Georgia(6/6/2025)
RR
Idaho(3/27/2025)
RR
Illinois(3/31/2025)
RR
Indiana(1/16/2025)
RR
Iowa(5/9/2025)
RR
Kansas(3/27/2025)
RR
Kentucky(2/17/2025)
RR
Louisiana(1/24/2025)
RR
Maryland(5/27/2025)
RR
Massachusetts(7/21/2025)
RR
Michigan(7/28/2025)
RR
Minnesota(4/1/2025)
RR
Mississippi(2/13/2025)
RR
Missouri(1/30/2025)
RR
Nebraska(3/21/2025)
IAR
New Jersey(10/27/2023)
RR
New Jersey(12/11/2024)
IAR
New York(11/20/2023)
RR
New York(12/12/2024)
RR
North Carolina(6/12/2025)
RR
Ohio(6/17/2025)
RR
Oklahoma(6/9/2025)
RR
Oregon(3/5/2025)
RR
Pennsylvania(12/19/2024)
RR
South Carolina(6/12/2025)
RR
South Dakota(2/3/2025)
RR
Tennessee(5/21/2025)
IAR
Texas(9/1/2024)
RR
Texas(12/14/2024)
RR
Utah(3/27/2025)
RR
Virginia(5/21/2025)
RR
Washington(6/10/2025)
RR
West Virginia(3/27/2025)
RR
Wisconsin(7/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/27/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TSG ALPHA PARTNERS, LLC
TSG ALPHA | TSG ALPHA PARTNERS, LLC
CRD#: 319493 / SEC#: 801-131801
RIA
Registered Investment Advisory firm - (2/7/2025 Approved)Florida
Registered Investment Advisory firm - (2/18/2025 Terminated)Louisiana
Registered Investment Advisory firm - (2/18/2025 Terminated)New Jersey
Registered Investment Advisory firm - (2/27/2025 Terminated)New York
Registered Investment Advisory firm - (2/18/2025 Terminated)Texas
Registered Investment Advisory firm - (2/18/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
35 Journal Square Suite 700, Jersey City, NJ 07036
Mailing Address
Phone number
(631) 403-5364
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 96 |
| AUM (Assets Under Management) | $ 75,424,005 |
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.
