Robert B. Brown

TCG CAPITAL MARKETS L.L.C.

NEW YORK, NY 10017

CRD#: 4285071

Some features on this profile are disabled

Professional summary

Robert Barry Brown, who also goes by Rob Brown, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rob Brown

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 Robert Barry Brown'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

April 22, 2026 - Present

TCG CAPITAL MARKETS L.L.C.

Office #1: 1 Vanderbilt Avenue Suite 3400, New York, NY 10017

CRD#: 291767

NEW YORK, NY

Past

December 22, 2023 - December 31, 2025

HPS SECURITIES, LLC

CRD#: 319197

NEW YORK, NY

Past

August 3, 2020 - February 15, 2023

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Raleigh, NC

Past

March 5, 2018 - January 2, 2020

HATTERAS CAPITAL DISTRIBUTORS, LLC

CRD#: 143365

RALEIGH, NC

Past

November 1, 2007 - March 18, 2014

HATTERAS CAPITAL DISTRIBUTORS, LLC

CRD#: 143365

RALEIGH, NC

Past

April 26, 2004 - October 4, 2007

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291

RALEIGH, NC

Past

December 7, 2000 - December 3, 2003

HIGHLAND INFORMATION SERVICES, INC.

CRD#: 25873

BIRMINGHAM, AL

State Registrations and Notice Filings

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

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

Alabama
(5/4/2026)

Alaska
(4/28/2026)

Arizona
(5/1/2026)

Arkansas
(5/4/2026)

California
(5/4/2026)

Colorado
(4/23/2026)

Connecticut
(4/24/2026)

Delaware
(5/4/2026)

District of Columbia
(5/19/2026)

Florida
(5/1/2026)

Georgia
(6/3/2026)

Hawaii
(5/1/2026)

Idaho
(5/1/2026)

Illinois
(5/4/2026)

Indiana
(5/4/2026)

Iowa
(4/24/2026)

Kansas
(4/24/2026)

Kentucky
(4/23/2026)

Louisiana
(5/1/2026)

Maine
(4/23/2026)

Maryland
(5/6/2026)

Massachusetts
(4/23/2026)

Michigan
(4/24/2026)

Minnesota
(4/23/2026)

Mississippi
(4/28/2026)

Missouri
(4/23/2026)

Montana
(4/23/2026)

Nebraska
(4/22/2026)

Nevada
(4/24/2026)

New Hampshire
(4/27/2026)

New Jersey
(5/4/2026)

New Mexico
(5/4/2026)

New York
(5/12/2026)

North Carolina
(4/23/2026)

North Dakota
(5/6/2026)

Ohio
(4/23/2026)

Oklahoma
(4/23/2026)

Oregon
(4/23/2026)

Pennsylvania
(4/27/2026)

Puerto Rico
(5/20/2026)

Rhode Island
(4/28/2026)

South Carolina
(4/28/2026)

South Dakota
(4/24/2026)

Tennessee
(5/1/2026)

Texas
(4/27/2026)

Utah
(4/23/2026)

Vermont
(5/1/2026)

Virgin Islands
(5/4/2026)

Virginia
(4/23/2026)

Washington
(4/23/2026)

West Virginia
(4/27/2026)

Wisconsin
(4/23/2026)

Wyoming
(4/24/2026)

Exams

State Security Law Exam

Series 63

Date: 2/2/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/6/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TCG CAPITAL MARKETS L.L.C.

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

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

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert B. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Barry Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

HPS SECURITIES, LLC

FORESIDE FUND SERVICES, LLC

HATTERAS CAPITAL DISTRIBUTORS, LLC

HATTERAS CAPITAL DISTRIBUTORS, LLC

CAPFINANCIAL SECURITIES, LLC.

HIGHLAND INFORMATION SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/2/2021

SIE

Date: 10/1/2018

Series 7

Date: 12/6/2000

FINRA

Current Firm

TCG CAPITAL MARKETS L.L.C.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TCG CAPITAL MARKETS L.L.C.

TRUST BUT VERIFY

Similar Advisors