Jake A. Greenstein

TCG CAPITAL MARKETS L.L.C.

New York, NY 10017

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CRD#: 6622325

Professional summary

Jake A Greenstein, who also goes by Jake Andrew Greenstein, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.

Jake is registered as a RR (Registered Representative) and started their career in finance in 2016. Jake has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jake Andrew Greenstein

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 Jake A Greenstein'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

January 12, 2025 - Present

TCG CAPITAL MARKETS L.L.C.

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

CRD#: 291767

New York, NY

Past

April 1, 2022 - December 16, 2024

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

New York, NY

Past

August 1, 2018 - April 1, 2022

FORESIDE FUND SERVICES, LLC

CRD#: 46106

NEW YORK CITY, NY

Past

May 1, 2017 - July 13, 2018

CION SECURITIES, LLC

CRD#: 15487

NEW YORK, NY

Past

June 7, 2016 - April 18, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

April 22, 2016 - April 18, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

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

Delaware
(1/12/2025)

District of Columbia
(7/17/2025)

Kentucky
(7/17/2025)

Maryland
(1/12/2025)

New Jersey
(1/12/2025)

New York
(1/12/2025)

Pennsylvania
(1/12/2025)

Virginia
(1/12/2025)

West Virginia
(1/12/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/4/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/22/2016

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)

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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)

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.

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Firm Stability Insights

Jake A. Greenstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jake A Greenstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCG CAPITAL MARKETS L.L.C.

DELAWARE DISTRIBUTORS, L.P.

FORESIDE FUND SERVICES, LLC

CION SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 6/4/2016

SIE

Date: 10/1/2018

Series 7

Date: 4/22/2016

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

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