Stella S. Kim
Professional summary
Stella S Kim, who also goes by Stella Sunmee Kim, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.
Stella is registered as a RR (Registered Representative) and started their career in finance in 2010. Stella has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stella S Kim's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 5, 2022 - Present
TCG CAPITAL MARKETS L.L.C.
Office #1: 1 Vanderbilt Avenue Suite 3400, New York, NY 10017May 26, 2016 - December 31, 2021
TCG SECURITIES, L.L.C.
February 14, 2012 - February 9, 2015
BLACKSTONE SECURITIES PARTNERS L.P.
December 14, 2010 - January 27, 2012
BREVAN HOWARD US 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
(4/5/2022)
Exams
FINRA
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
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