Kevin T. Cockerill

TCG CAPITAL MARKETS L.L.C.

New York, NY 10017

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CRD#: 6689567

Professional summary

Kevin Timothy Cockerill, who also goes by Kevin Timothy Cockerill, Kevin Cockerill, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2016. Kevin has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin Timothy Cockerill | Kevin Cockerill

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 Kevin Timothy Cockerill'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

July 24, 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

October 5, 2023 - July 19, 2024

FEF DISTRIBUTORS, LLC

CRD#: 46585

NEW YORK, NY

Past

March 8, 2017 - August 11, 2023

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

NEW YORK, NY

Past

February 7, 2017 - August 11, 2023

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 30, 2016 - February 6, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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
(7/24/2024)

Maine
(7/24/2024)

Massachusetts
(7/24/2024)

New Hampshire
(7/24/2024)

New Jersey
(7/24/2024)

New York
(7/24/2024)

Rhode Island
(7/24/2024)

Vermont
(7/24/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 3/7/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/23/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/30/2016

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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Advisor Monitoring

Firm Stability Insights

Kevin T. Cockerill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Timothy Cockerill's CRS (Customer Relationship Summary).

Certified licenses

Experience

FEF DISTRIBUTORS, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/7/2017

Series 63

Date: 11/23/2016

SIE

Date: 10/1/2018

Series 7

Date: 9/30/2016

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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