Jennifer W. Fiset
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jennifer Wu Fiset, who also goes by Jennifer Wu, Jennifer-mingyu Wu, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 2008. Jennifer had worked at 6 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2023 - April 1, 2025
TCG CAPITAL MARKETS L.L.C.
October 18, 2018 - April 4, 2023
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 21, 2010 - July 16, 2018
VOYA INVESTMENTS DISTRIBUTOR, LLC
February 22, 2010 - August 18, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
December 11, 2008 - March 16, 2022
VOYA INVESTMENT MANAGEMENT CO. LLC
September 30, 2008 - January 12, 2010
VOYA INVESTMENTS DISTRIBUTOR, LLC
September 9, 2008 - October 1, 2008
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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