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JF

Joseph J. Fliss

TPG CAPITAL BD
New York, NY 10167
Some features on this profile are disabled
CRD#: 6108931
JF

Professional summary

Joseph John Fliss is a registered financial professional currently at TPG CAPITAL BD, LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2012. Joseph has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph John Fliss's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 5, 2025 - Present

TPG CAPITAL BD, LLC

Office #1: 245 Park Avenue 26th Floor, New York, NY 10167
BD
CRD#: 143876
New York, NY
Past

April 6, 2015 - April 8, 2025

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
CHICAGO, IL
Past

November 5, 2012 - June 4, 2015

MORGAN STANLEY

RIA
CRD#: 149777
MILWAUKEE, WI
Past

October 8, 2012 - June 4, 2015

MORGAN STANLEY

BD
CRD#: 149777
MILWAUKEE, WI

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
Arkansas
(5/5/2025)
RR
Illinois
(5/5/2025)
RR
Indiana
(5/5/2025)
RR
Iowa
(5/5/2025)
RR
Kansas
(5/5/2025)
RR
Louisiana
(5/5/2025)
RR
Michigan
(5/5/2025)
RR
Minnesota
(5/5/2025)
RR
Mississippi
(5/5/2025)
RR
Missouri
(5/5/2025)
RR
Nebraska
(5/5/2025)
RR
North Dakota
(5/5/2025)
RR
Oklahoma
(5/5/2025)
RR
South Dakota
(5/5/2025)
RR
Texas
(5/5/2025)
RR
Wisconsin
(5/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/2/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/5/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TPG CAPITAL BD, LLC
TPG CAPITAL BD, LLC

CRD#: 143876 / SEC#: , 8-67616

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
301 Commerce Street Ste 3300, Fort Worth, TX 76102
Mailing Address
301 Commerce Street Ste 3300, Fort Worth, TX 76102
Phone number
(817) 871-4000
Established
Texas since 03/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TPG BD ADVISORS, LLCSOLE MEMBER
DAVIDSON, MARTIN LOUISFINOP AND PRINCIPAL FINANCIAL OFFICER5330788
UMAYAM, MICHAELCHIEF COMPLIANCE OFFICER6814011
WEINGART, JACK CHARLESCEO1879144

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.

Company Information

TPG CAPITAL BD, LLC

CRD#: 143876New York, NY 10167

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