Piper Horel
Professional summary
Piper Horel is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.
Piper is registered as a RR (Registered Representative) and started their career in finance in 2023. Piper has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Piper Horel's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 23, 2024 - Present
TCG CAPITAL MARKETS L.L.C.
Office #1: 1 Vanderbilt Avenue Suite 3400, New York, NY 10017November 6, 2023 - September 16, 2024
ROCKEFELLER FINANCIAL LLC
April 6, 2023 - November 22, 2023
MERCER ALLIED COMPANY, L.P.
February 3, 2023 - March 23, 2023
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/23/2024)
Exams
Series 7TO
Date: 2/3/2023
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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