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KT

Ken D. Tidwell

TCG CAPITAL MARKETS L.L.C.
New York, NY 10017
Some features on this profile are disabled
CRD#: 4760387
KT

Professional summary

Ken Douglas Tidwell is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.

Ken is registered as a RR (Registered Representative) and started their career in finance in 2004. Ken has worked at 3 firms and has passed the Series 63, Series 66, SIE, Series 82, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Ken Douglas Tidwell'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 4, 2022 - Present

TCG CAPITAL MARKETS L.L.C.

Office #1: 1 Vanderbilt Avenue Suite 3400, New York, NY 10017
BD
CRD#: 291767
New York, NY
Past

June 29, 2011 - December 31, 2021

TCG SECURITIES, L.L.C.

BD
CRD#: 154788
WASHINGTON, DC
Past

July 16, 2004 - May 19, 2005

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
MIAMI, FL
Past

April 14, 2004 - May 19, 2005

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, 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
California
(1/4/2022)
RR
Colorado
(1/4/2022)
RR
Connecticut
(1/4/2022)
RR
District of Columbia
(1/4/2022)
RR
Florida
(1/4/2022)
RR
New York
(1/4/2022)
RR
North Carolina
(1/4/2022)
RR
Puerto Rico
(1/4/2022)
RR
South Carolina
(1/4/2022)
RR
Texas
(1/4/2022)
RR
Virginia
(1/4/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/2010
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/7/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 8/18/2010
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 7
Date: 4/13/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/30/2004
General Securities Principal 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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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#: 291767New York, NY 10017

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