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CG

Carlos Garcia Tome Garcia

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 7741098
CG

Professional summary

Carlos Garcia Tome Garcia, who also goes by Carlos Garciatomegarcia, is a registered financial professional currently at PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC located in New York, New York.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 2023. Carlos has worked at 1 firm and has passed the Series 63, Series 82TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carlos Garciatomegarcia

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 Carlos Garcia Tome Garcia's 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

June 6, 2023 - Present

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

Office #1: 300 Madison Ave, New York, NY 10017
BD
CRD#: 41461
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Alabama
(6/20/2023)
RR
Alaska
(6/20/2023)
RR
Arizona
(6/20/2023)
RR
Arkansas
(6/20/2023)
RR
California
(6/20/2023)
RR
Colorado
(6/6/2023)
RR
Connecticut
(6/20/2023)
RR
Delaware
(6/20/2023)
RR
District of Columbia
(6/6/2023)
RR
Florida
(6/6/2023)
RR
Georgia
(6/20/2023)
RR
Hawaii
(6/20/2023)
RR
Idaho
(6/20/2023)
RR
Illinois
(6/20/2023)
RR
Indiana
(6/20/2023)
RR
Iowa
(6/20/2023)
RR
Kansas
(6/20/2023)
RR
Kentucky
(6/20/2023)
RR
Louisiana
(6/6/2023)
RR
Maine
(6/20/2023)
RR
Maryland
(6/6/2023)
RR
Massachusetts
(6/20/2023)
RR
Michigan
(6/20/2023)
RR
Minnesota
(6/20/2023)
RR
Mississippi
(6/20/2023)
RR
Missouri
(6/20/2023)
RR
Montana
(6/20/2023)
RR
Nebraska
(6/20/2023)
RR
Nevada
(6/20/2023)
RR
New Hampshire
(6/20/2023)
RR
New Jersey
(6/20/2023)
RR
New Mexico
(6/20/2023)
RR
New York
(6/20/2023)
RR
North Carolina
(6/20/2023)
RR
North Dakota
(6/20/2023)
RR
Ohio
(6/20/2023)
RR
Oklahoma
(6/20/2023)
RR
Oregon
(6/20/2023)
RR
Pennsylvania
(6/20/2023)
RR
Puerto Rico
(6/6/2023)
RR
Rhode Island
(6/20/2023)
RR
South Carolina
(6/20/2023)
RR
South Dakota
(6/20/2023)
RR
Texas
(6/20/2023)
RR
Utah
(6/20/2023)
RR
Vermont
(6/20/2023)
RR
Virgin Islands
(6/20/2023)
RR
Virginia
(6/20/2023)
RR
Washington
(6/20/2023)
RR
West Virginia
(6/20/2023)
RR
Wisconsin
(6/20/2023)
RR
Wyoming
(6/20/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/20/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 6/6/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 5/18/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
COOPERS & LYBRAND SECURITIES L.L.C. | PWC CORPORATE ADVISORY AND RESTRUCTURING LLC | PRICEWATERHOUSECOOPERS SECURITIES LLC | PRICEWATERHOUSECOOPERS SECURITIES L.L.C. | PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC | PRICEWATERHOUSECOOPERS CORPORATE ADVISORY AND RESTRUCTURING LLC | PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

CRD#: 41461 / SEC#: , 8-49443

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1 N. Wacker Drive 6th Floor, Chicago, IL 60606
Mailing Address
1 N. Wacker Drive 6th Floor, Chicago, IL 60606
Phone number
(312) 298-2000
Established
Delaware since 06/25/1996
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PWC US BUSINESS ADVISORY LLPSHAREHOLDER
BRIDEN, STEPHEN JAMESACTING CCO AND POO6162493
CHOPOORIAN, RONALD HAIGMEMBER OF BOARD OF MANAGERS7970815
GILL, MAUREENMEMBER OF BOARD OF MANAGERS7313897
NIEMEYER, MEL JOHNMEMBER OF BOARD OF MANAGERS
ROONEY, THOMAS MMEMBER OF BOARD OF MANAGERS6931609
SCHASCHWARY, MICHAEL JOSEPHACTING FINOP AND PFO6001279
WOLFE, HOWARD DEGRAFF IIIPRESIDENT3049913

Disclosures

Regulatory Event1

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.

Company Information

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

CRD#: 41461New York, NY 10017

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