JB
John P. Borys
TCG CAPITAL MARKETS L.L.C.
New York, NY 10017
Some features on this profile are disabled
CRD#: 5324093
JB
Professional summary
John Patrick Borys is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2008. John has worked at 3 firms and has passed the Series 63, SIE, Series 82 and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view John Patrick Borys's 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®
NoneExperience
Current
January 3, 2022 - Present
TCG CAPITAL MARKETS L.L.C.
Office #1: 1 Vanderbilt Avenue Suite 3400, New York, NY 10017BD
CRD#: 291767
New York, NY
Past
July 13, 2017 - December 31, 2021
TCG SECURITIES, L.L.C.
BD
CRD#: 154788
NEW YORK, NY
Past
August 26, 2008 - July 5, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(1/3/2025)
RR
Alaska(1/3/2025)
RR
Arizona(1/3/2025)
RR
Arkansas(1/3/2025)
RR
California(1/3/2022)
RR
Colorado(1/3/2025)
RR
Connecticut(1/3/2025)
RR
Delaware(1/3/2025)
RR
District of Columbia(1/3/2022)
RR
Florida(1/3/2025)
RR
Georgia(1/3/2025)
RR
Hawaii(1/3/2025)
RR
Idaho(1/3/2025)
RR
Illinois(1/3/2022)
RR
Indiana(1/3/2022)
RR
Iowa(1/3/2025)
RR
Kansas(1/3/2025)
RR
Kentucky(1/3/2025)
RR
Louisiana(1/3/2025)
RR
Maine(1/3/2025)
RR
Maryland(1/3/2022)
RR
Massachusetts(1/3/2022)
RR
Michigan(1/3/2022)
RR
Minnesota(1/3/2025)
RR
Mississippi(1/3/2025)
RR
Missouri(1/3/2025)
RR
Montana(1/3/2025)
RR
Nebraska(1/3/2025)
RR
Nevada(1/3/2025)
RR
New Hampshire(1/3/2025)
RR
New Jersey(1/3/2022)
RR
New Mexico(1/3/2025)
RR
New York(1/3/2022)
RR
North Carolina(1/3/2025)
RR
North Dakota(1/3/2025)
RR
Ohio(1/6/2025)
RR
Oklahoma(1/3/2022)
RR
Oregon(1/3/2025)
RR
Pennsylvania(1/3/2022)
RR
Puerto Rico(1/3/2025)
RR
Rhode Island(1/3/2025)
RR
South Carolina(1/3/2025)
RR
South Dakota(1/3/2025)
RR
Tennessee(1/3/2025)
RR
Texas(1/3/2025)
RR
Utah(1/3/2025)
RR
Vermont(1/3/2025)
RR
Virgin Islands(1/3/2025)
RR
Virginia(1/3/2025)
RR
Washington(1/3/2025)
RR
West Virginia(1/3/2025)
RR
Wisconsin(1/3/2022)
RR
Wyoming(1/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
