SF
Sofia N. Flynn
TCG CAPITAL MARKETS L.L.C.
New York, NY 10017
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CRD#: 5426369
SF
Professional summary
Sofia N Flynn, CFP®, who also goes by Sofia N Puente, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.
Sofia is registered as a RR (Registered Representative) and started their career in finance in 2007. Sofia has worked at 5 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sofia N Puente
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 Sofia N Flynn'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®
Experience
Current
December 6, 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
June 17, 2015 - November 2, 2022
CLEARBRIDGE INVESTMENTS, LLC
RIA
CRD#: 137028
NEW YORK, NY
Past
June 17, 2015 - November 2, 2022
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
STAMFORD, CT
Past
February 18, 2014 - June 18, 2015
MORGAN STANLEY
RIA
CRD#: 149777
PURCHASE, NY
Past
June 1, 2009 - June 18, 2015
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
October 18, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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(12/6/2022)
RR
Alaska(12/6/2022)
RR
Arizona(12/6/2022)
RR
Arkansas(12/6/2022)
RR
California(12/6/2022)
RR
Colorado(12/6/2022)
RR
Connecticut(12/6/2022)
RR
Delaware(12/6/2022)
RR
District of Columbia(12/6/2022)
RR
Florida(12/6/2022)
RR
Georgia(12/6/2022)
RR
Hawaii(12/6/2022)
RR
Idaho(12/6/2022)
RR
Illinois(12/6/2022)
RR
Indiana(12/6/2022)
RR
Iowa(12/6/2022)
RR
Kansas(12/6/2022)
RR
Kentucky(12/6/2022)
RR
Louisiana(12/6/2022)
RR
Maine(12/6/2022)
RR
Maryland(12/6/2022)
RR
Massachusetts(12/6/2022)
RR
Michigan(12/6/2022)
RR
Minnesota(12/6/2022)
RR
Mississippi(12/6/2022)
RR
Missouri(12/6/2022)
RR
Montana(12/6/2022)
RR
Nebraska(12/6/2022)
RR
Nevada(12/6/2022)
RR
New Hampshire(12/6/2022)
RR
New Jersey(12/6/2022)
RR
New Mexico(12/6/2022)
RR
New York(12/6/2022)
RR
North Carolina(12/6/2022)
RR
North Dakota(12/6/2022)
RR
Ohio(12/16/2022)
RR
Oklahoma(12/6/2022)
RR
Oregon(12/6/2022)
RR
Pennsylvania(12/6/2022)
RR
Puerto Rico(12/6/2022)
RR
Rhode Island(12/6/2022)
RR
South Carolina(12/6/2022)
RR
South Dakota(12/6/2022)
RR
Tennessee(12/6/2022)
RR
Texas(12/6/2022)
RR
Utah(12/6/2022)
RR
Vermont(12/6/2022)
RR
Virgin Islands(12/6/2022)
RR
Virginia(12/6/2022)
RR
Washington(12/6/2022)
RR
West Virginia(12/6/2022)
RR
Wisconsin(12/6/2022)
RR
Wyoming(12/6/2022)
Exams
State Security Law Exam
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)
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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)
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.
