Carolyn Boccaccio
Professional summary
Carolyn Boccaccio, CIMA®, CPWA®, who also goes by Carolyn Thompson, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.
Carolyn is registered as a RR (Registered Representative) and started their career in finance in 2002. Carolyn has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carolyn Boccaccio's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2019-04-25
Expire date: 2023-11-30
Experience
January 3, 2022 - Present
TCG CAPITAL MARKETS L.L.C.
Office #1: 1 Vanderbilt Avenue Suite 3400, New York, NY 10017February 20, 2020 - December 31, 2021
FORESIDE FUND SERVICES, LLC
July 17, 2019 - December 23, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
September 20, 2010 - May 24, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
April 27, 2009 - September 20, 2010
MSI FINANCIAL SERVICES, INC.
January 29, 2008 - October 31, 2008
DIRECTED SERVICES LLC
February 9, 2007 - January 8, 2008
GLOBAL ATLANTIC DISTRIBUTORS, LLC
April 1, 2006 - January 19, 2007
METLIFE INVESTORS DISTRIBUTION COMPANY
June 5, 2002 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
State Registrations and Notice Filings
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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
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