John L. Pacovich
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Louis Pacovich III, who also goes by John Louis Pacovich, John Louis Pacovich III, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2023. John had worked at 1 firm and has passed the Series 99TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2023 - July 10, 2026
TCG CAPITAL MARKETS L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 2/24/2023
Operations Professional ExaminationCurrent 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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