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JF

Jeffrey R. Ferro

TCG CAPITAL MARKETS L.L.C.
Washington, DC 20004
Some features on this profile are disabled
CRD#: 6531944
JF

Professional summary

Jeffrey Ross Ferro, who also goes by Jeffrey Ross Ferro, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in Washington, District Of Columbia.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2015. Jeffrey has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey Ross Ferro

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 Jeffrey Ross Ferro'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

February 29, 2024 - Present

TCG CAPITAL MARKETS L.L.C.

Office #1: 1001 Pennsylvania Ave., Nw Suite 220 South, Washington, DC 20004
BD
CRD#: 291767
Washington, DC
Past

October 12, 2022 - February 23, 2024

AMUNDI ASSET MANAGEMENT US, INC.

RIA
CRD#: 107719
BOSTON, MA
Past

October 6, 2022 - February 23, 2024

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA
Past

September 17, 2019 - October 19, 2022

EATON VANCE MANAGEMENT

RIA
CRD#: 104859
BOSTON, MA
Past

September 13, 2019 - October 19, 2022

EATON VANCE DISTRIBUTORS, INC.

BD
CRD#: 37731
BOSTON, MA
Past

October 24, 2017 - August 27, 2019

NATIXIS ADVISORS, LLC

RIA
CRD#: 106800
BOSTON, MA
Past

August 18, 2015 - August 27, 2019

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA

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
Iowa
(6/24/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/2/2017
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: 8/18/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/14/2015
General Securities Principal 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#: 291767Washington, DC 20004

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