ZF
Zachary W. Forman
TCG CAPITAL MARKETS L.L.C.
Scottsdale, AZ
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CRD#: 5628793
ZF
Professional summary
Zachary Wayne Forman, who also goes by Zachary Wayne Forman, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in Scottsdale, Arizona.
Zachary is registered as a RR (Registered Representative) and started their career in finance in 2009. Zachary has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Zachary Wayne Forman
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 Zachary Wayne Forman'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
October 4, 2024 - Present
TCG CAPITAL MARKETS L.L.C.
BD
CRD#: 291767
Scottsdale, AZ
Past
August 13, 2024 - September 25, 2024
ARETE WEALTH MANAGEMENT, LLC
BD
CRD#: 44856
CHICAGO, IL
Past
December 19, 2014 - June 11, 2024
GRIFFIN CAPITAL SECURITIES, LLC
BD
CRD#: 37739
IRVINE, CA
Past
September 10, 2014 - December 18, 2014
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
CRD#: 126159
ELKHORN, NE
Past
June 20, 2012 - September 9, 2014
LUCIA SECURITIES, LLC
BD
CRD#: 37179
SCOTTSDALE, AZ
Past
February 13, 2009 - March 30, 2012
LAWSON FINANCIAL CORPORATION
BD
CRD#: 15261
SCOTTSDALE, AZ
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(10/4/2024)
RR
Alaska(10/4/2024)
RR
Arizona(10/10/2024)
RR
Arkansas(10/4/2024)
RR
California(10/4/2024)
RR
Colorado(10/4/2024)
RR
Connecticut(10/4/2024)
RR
Delaware(10/4/2024)
RR
District of Columbia(10/4/2024)
RR
Florida(10/4/2024)
RR
Georgia(10/4/2024)
RR
Hawaii(10/4/2024)
RR
Idaho(10/4/2024)
RR
Illinois(10/4/2024)
RR
Indiana(10/4/2024)
RR
Iowa(10/4/2024)
RR
Kansas(10/4/2024)
RR
Kentucky(10/4/2024)
RR
Louisiana(10/4/2024)
RR
Maine(10/4/2024)
RR
Maryland(10/4/2024)
RR
Massachusetts(10/4/2024)
RR
Michigan(10/4/2024)
RR
Minnesota(10/4/2024)
RR
Mississippi(10/4/2024)
RR
Missouri(10/4/2024)
RR
Montana(10/4/2024)
RR
Nebraska(10/4/2024)
RR
Nevada(10/4/2024)
RR
New Hampshire(10/4/2024)
RR
New Jersey(10/4/2024)
RR
New Mexico(10/4/2024)
RR
New York(10/4/2024)
RR
North Carolina(10/4/2024)
RR
North Dakota(10/4/2024)
RR
Ohio(10/4/2024)
RR
Oklahoma(10/4/2024)
RR
Oregon(10/4/2024)
RR
Pennsylvania(10/4/2024)
RR
Puerto Rico(10/4/2024)
RR
Rhode Island(10/4/2024)
RR
South Carolina(10/4/2024)
RR
South Dakota(10/4/2024)
RR
Tennessee(10/4/2024)
RR
Texas(10/4/2024)
RR
Utah(10/4/2024)
RR
Vermont(10/4/2024)
RR
Virgin Islands(10/4/2024)
RR
Virginia(10/4/2024)
RR
Washington(10/4/2024)
RR
West Virginia(10/4/2024)
RR
Wisconsin(10/4/2024)
RR
Wyoming(10/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
