Raphael S. Son
Professional summary
Raphael Seongwoo Son, who also goes by Raphael Son, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.
Raphael is registered as a RR (Registered Representative) and started their career in finance in 2018. Raphael has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Raphael Seongwoo Son's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2022 - Present
TCG CAPITAL MARKETS L.L.C.
Office #1: 1 Vanderbilt Avenue Suite 3400, New York, NY 10017February 20, 2019 - January 13, 2022
MACQUARIE CAPITAL (USA) INC.
January 24, 2018 - January 31, 2019
BNP PARIBAS SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/10/2022)
Exams
Series 7TO
Date: 10/22/2024
General Securities Representative ExaminationFINRA
Current Firm
TCG CAPITAL MARKETS L.L.C.
CRD#: 291767 / SEC#: , 8-70061
Contact information
FINRA licenses (53 States and Territories)
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
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