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WR

William E. Ryan

TCG CAPITAL MARKETS L.L.C.
Washington, DC 20004
CRD#: 4572210
Some features on this profile are disabled
WR
William Egan Ryan IIITCG CAPITAL MARKETS L.L.C.

Professional summary

William Egan Ryan III, who also goes by William Egan Ryan III, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in Washington, District Of Columbia.

William is registered as a RR (Registered Representative) and started their career in finance in 2003. William has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Egan Ryan Iii

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 William Egan Ryan III'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

May 26, 2026 - Present

TCG CAPITAL MARKETS L.L.C.

Office #1: 1001 Pennsylvania Ave., Nw Suite 220 South, Washington, DC 20004
BD
CRD#: 291767
Washington, DC
Past

January 22, 2007 - August 31, 2007

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
CERRITOS, CA
Past

January 22, 2007 - August 31, 2007

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
CERRITOS, CA
Past

June 25, 2004 - January 24, 2007

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
FOUNTAIN VALLEY, CA
Past

June 25, 2004 - January 24, 2007

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
FOUNTAIN VALLEY, CA
Past

January 10, 2003 - May 13, 2004

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

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

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
Alabama
(6/2/2026)
RR
Alaska
(6/2/2026)
RR
Arizona
(6/8/2026)
RR
Arkansas
(5/29/2026)
RR
California
(5/26/2026)
RR
Colorado
(5/27/2026)
RR
Connecticut
(5/28/2026)
RR
Delaware
(5/28/2026)
RR
District of Columbia
(5/29/2026)
RR
Florida
(5/27/2026)
RR
Georgia
(5/27/2026)
RR
Hawaii
(5/27/2026)
RR
Idaho
(5/26/2026)
RR
Illinois
(5/27/2026)
RR
Indiana
(5/27/2026)
RR
Iowa
(5/27/2026)
RR
Kansas
(5/27/2026)
RR
Kentucky
(5/27/2026)
RR
Louisiana
(5/27/2026)
RR
Maine
(5/27/2026)
RR
Maryland
(5/27/2026)
RR
Massachusetts
(5/27/2026)
RR
Michigan
(5/28/2026)
RR
Minnesota
(5/27/2026)
RR
Mississippi
(6/1/2026)
RR
Missouri
(5/26/2026)
RR
Montana
(5/26/2026)
RR
Nebraska
(5/26/2026)
RR
Nevada
(5/28/2026)
RR
New Hampshire
(5/28/2026)
RR
New Jersey
(5/28/2026)
RR
New Mexico
(5/27/2026)
RR
North Carolina
(5/28/2026)
RR
North Dakota
(6/1/2026)
RR
Ohio
(5/27/2026)
RR
Oklahoma
(5/27/2026)
RR
Oregon
(6/11/2026)
RR
Pennsylvania
(5/27/2026)
RR
Puerto Rico
(6/23/2026)
RR
Rhode Island
(5/27/2026)
RR
South Carolina
(5/29/2026)
RR
South Dakota
(5/27/2026)
RR
Tennessee
(5/27/2026)
RR
Texas
(5/26/2026)
RR
Utah
(5/26/2026)
RR
Vermont
(5/27/2026)
RR
Virgin Islands
(6/3/2026)
RR
Virginia
(5/27/2026)
RR
Washington
(5/28/2026)
RR
West Virginia
(6/3/2026)
RR
Wisconsin
(5/27/2026)
RR
Wyoming
(5/28/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/2026
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/13/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/22/2026
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/9/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TCG CAPITAL MARKETS L.L.C.
TCG CAPITAL MARKETS L.L.C.

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

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

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

NamePositionCRD#
CARLYLE INVESTMENT MANAGEMENT, L.L.C.MEMBER
KRZAK, ALEXANDER JACOBPRINCIPAL OPERATIONS OFFICER6349160
LEFKOWITZ, JOSHUA ADAMOFFICER7216783
LOWENTHAL, MITCHELL NEALCO-CHIEF COMPLIANCE OFFICER6939241
PLOUFFE, JUSTINCEO6223477
QIAN, LIANGSHUNCO-CHIEF COMPLIANCE OFFICER7247412
RIORDAN, TIFFANYFINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER6313437

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.

Company Information

TCG CAPITAL MARKETS L.L.C.

CRD#: 291767Washington, DC 20004

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