Stephen A. Roskam

TCG CAPITAL MARKETS L.L.C.

New York, NY 10017

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CRD#: 6769870

Professional summary

Stephen Andrew Roskam, who also goes by Stephen Andrew Roskam II, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2017. Stephen has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen Andrew Roskam Ii

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 Stephen Andrew Roskam'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 29, 2022 - Present

TCG CAPITAL MARKETS L.L.C.

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

CRD#: 291767

New York, NY

Past

June 9, 2017 - August 3, 2022

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

WHEATON, IL

Past

May 9, 2017 - August 3, 2022

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

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

Illinois
(8/29/2022)

Indiana
(8/29/2022)

Iowa
(8/29/2022)

Kentucky
(8/29/2022)

Michigan
(8/29/2022)

Minnesota
(8/29/2022)

New York
(8/29/2022)

North Dakota
(8/29/2022)

Ohio
(8/30/2022)

South Dakota
(8/29/2022)

Wisconsin
(8/29/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/9/2017

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: 5/9/2017

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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Stephen A. Roskam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Andrew Roskam's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCG CAPITAL MARKETS L.L.C.

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/9/2017

SIE

Date: 10/1/2018

Series 7

Date: 5/9/2017

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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