Colleen I. Yee
Professional summary
Colleen Ignacio Yee, who also goes by Colleen Ignacio, Colleen Ignacio, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.
Colleen is registered as a RR (Registered Representative) and started their career in finance in 2001. Colleen has worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Colleen Ignacio Yee's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 7, 2026 - Present
TCG CAPITAL MARKETS L.L.C.
Office #1: 1 Vanderbilt Avenue Suite 3400, New York, NY 10017February 28, 2017 - December 16, 2025
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
June 4, 2014 - February 14, 2017
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
March 4, 2014 - June 24, 2014
GUGGENHEIM INVESTMENTS
March 3, 2014 - June 5, 2014
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
July 7, 2011 - March 3, 2014
GUGGENHEIM DISTRIBUTORS, LLC
April 8, 2010 - June 3, 2011
J.P. MORGAN SECURITIES LLC
September 25, 2003 - June 1, 2009
DWS DISTRIBUTORS, INC.
September 17, 2002 - September 3, 2003
MORGAN STANLEY DW INC.
December 17, 2001 - September 3, 2003
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/7/2026)
(1/7/2026)
(1/7/2026)
(1/7/2026)
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.
