Mitchell Neal Lowenthal
Professional Summary
Mitchell Neal Lowenthal is a registered financial advisor currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York. Mitchell is registered as a RR (Registered Representative) and started their career in finance in 2018. Mitchell has worked at 2 firms and has passed the Series 66, Series 63, Series 82TO, Series 99TO, Series 79TO, SIE, Series 87, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
TCG CAPITAL MARKETS L.L.C.
Contact Information
Main Address
1 Vanderbilt Avenue Suite 3400, New York, NY 10017Mailing Address
1 Vanderbilt Avenue Suite 3400, New York, NY 10017Phone Number
(212) 813-4900Established
Delaware since 10/20/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLYLE INVESTMENT MANAGEMENT, L.L.C. | MEMBER | — |
| ALIBAIR, AMAL | CO-CEO | 5254240 |
| BANSAL, AKHIL | CO-CEO | 5392349 |
| KRZAK, ALEXANDER JACOB | PRINCIPAL OPERATIONS OFFICER | 6349160 |
| LEFKOWITZ, JOSHUA ADAM | OFFICER | 7216783 |
| LOWENTHAL, MITCHELL NEAL | CO-CHIEF COMPLIANCE OFFICER | 6939241 |
| QIAN, LIANGSHUN | CO-CHIEF COMPLIANCE OFFICER | 7247412 |
| RIORDAN, TIFFANY | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 6313437 |
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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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Aug 2024About the Series 82TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jun 2020About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Jun 2018About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Mitchell Neal Lowenthal's CRS (Customer Relationship Summary).
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