Steven T. Barrocas

TCG CAPITAL MARKETS L.L.C.

New York, NY 10017

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CRD#: 4351822

Professional summary

Steven Todd Barrocas is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Steven Todd Barrocas'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

January 12, 2025 - Present

TCG CAPITAL MARKETS L.L.C.

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

CRD#: 291767

New York, NY

Past

April 27, 2016 - October 31, 2024

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

PHILADELPHIA, PA

Past

June 12, 2007 - April 20, 2016

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

April 20, 2004 - June 1, 2007

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

BOYNTON BEACH, FL

Past

March 21, 2003 - April 19, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BETHESDA , MD

Past

March 21, 2003 - April 19, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 18, 2002 - March 27, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

BETHESDA, MD

Past

April 6, 2001 - March 27, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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

Florida
(1/12/2025)

New York
(1/12/2025)

Puerto Rico
(1/12/2025)

Virgin Islands
(1/12/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 6/2/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/2001

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: 4/5/2001

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)

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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.

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Advisor Monitoring

Firm Stability Insights

Steven T. Barrocas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Todd Barrocas's CRS (Customer Relationship Summary).

Certified licenses

Experience

DELAWARE DISTRIBUTORS, L.P.

MFS FUND DISTRIBUTORS, INC.

GUGGENHEIM DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/2001

Series 63

Date: 5/3/2001

SIE

Date: 10/1/2018

Series 7

Date: 4/5/2001

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

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