Connor J. Ortolf

TCG CAPITAL MARKETS L.L.C.

New York, NY 10017

Some features on this profile are disabled

CRD#: 6184183

Professional summary

Connor Jon Ortolf is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.

Connor is registered as a RR (Registered Representative) and started their career in finance in 2014. Connor has worked at 4 firms and has passed the Series 65, Series 63, Series 3, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Connor Jon Ortolf'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

August 19, 2024 - Present

TCG CAPITAL MARKETS L.L.C.

Office #1: 1 Vanderbilt Avenue Suite 3400, New York, NY 10017

CRD#: 291767

New York, NY

Past

May 8, 2015 - August 12, 2024

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

New York, NY

Past

April 21, 2015 - August 12, 2024

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

July 7, 2014 - April 9, 2015

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(8/19/2024)

Delaware
(8/19/2024)

Maine
(8/19/2024)

Massachusetts
(8/19/2024)

New Hampshire
(8/19/2024)

New Jersey
(8/19/2024)

New York
(8/19/2024)

Pennsylvania
(8/19/2024)

Rhode Island
(8/19/2024)

Vermont
(8/19/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/4/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/16/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 3/31/2021

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/7/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TCG CAPITAL MARKETS L.L.C.

CRD#: 291767 / SEC#: , 8-70061

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Connor J. Ortolf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Connor Jon Ortolf's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/2015

Series 63

Date: 7/16/2014

Series 3

Date: 3/31/2021

SIE

Date: 10/1/2018

Series 7

Date: 7/7/2014

FINRA

Current Firm

TCG CAPITAL MARKETS L.L.C.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TCG CAPITAL MARKETS L.L.C.

TRUST BUT VERIFY

Similar Advisors