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SK

Susanna H. Kvam

TCG CAPITAL MARKETS L.L.C.
New York, NY 10017
Some features on this profile are disabled
CRD#: 6528464
SK

Professional summary

Susanna Hayes Kvam, who also goes by Susanna Kvam Norris, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.

Susanna is registered as a RR (Registered Representative) and started their career in finance in 2015. Susanna 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

Susanna Kvam Norris

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.
I am an independent contractor with the title "Travel Advisor" in which I would be able to book Pass travel for family and close friends through Fora Travel, the host agency. This would allow me to get access to the host agencies hotel relationships & partners for bookings. I would also receive a commission on the majority of my bookings made, in particular hotels and cruise ships. There are no specific goals, targets or hours spent in this role.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susanna Hayes Kvam'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 8, 2023 - Present

TCG CAPITAL MARKETS L.L.C.

Office #1: 1 Vanderbilt Avenue Suite 3400, New York, NY 10017
BD
CRD#: 291767
New York, NY
Past

October 16, 2015 - March 17, 2023

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

October 8, 2015 - March 17, 2023

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ

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
Delaware
(5/8/2023)
RR
District of Columbia
(5/8/2023)
RR
Maryland
(5/8/2023)
RR
New Jersey
(5/8/2023)
RR
New York
(5/8/2023)
RR
Pennsylvania
(5/8/2023)
RR
Virginia
(5/8/2023)
RR
West Virginia
(5/8/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/14/2015
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: 9/2/2015
General Securities Representative Examination
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)

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#
CARLYLE INVESTMENT MANAGEMENT, L.L.C.MEMBER
KRZAK, ALEXANDER JACOBPRINCIPAL OPERATIONS OFFICER6349160
LEFKOWITZ, JOSHUA ADAMOFFICER7216783
LOWENTHAL, MITCHELL NEALCO-CHIEF COMPLIANCE OFFICER6939241
PLOUFFE, JUSTINCEO6223477
QIAN, LIANGSHUNCO-CHIEF COMPLIANCE OFFICER7247412
RIORDAN, TIFFANYFINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER6313437

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

TCG CAPITAL MARKETS L.L.C.

CRD#: 291767New York, NY 10017

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