AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CM

Caroline A. Mayock

HOWDEN TIGER CAPITAL MARKETS & ADVISORY
New York, NY 10019
Some features on this profile are disabled
CRD#: 7791165
CM

Professional summary

Caroline Avery Mayock, who also goes by Caroline Mayock, is a registered financial professional currently at HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC located in New York, New York.

Caroline is registered as a RR (Registered Representative) and started their career in finance in 2024. Caroline has worked at 1 firm and has passed the Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Caroline Mayock

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 Caroline Avery Mayock'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

March 29, 2024 - Present

HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC

Office #1: 1350 Avenue Of The Americas 33rd Floor, New York, NY 10019
BD
CRD#: 172729
New York, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 3/29/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/25/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

HT
HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC
HOWDEN CAPITAL MARKETS & ADVISORY | TIGERRISK CAPITAL STRATEGIES LLC | TIGERRISK CAPITAL MARKETS & ADVISORY | HOWDEN TIGER INVESTMENT BANKING | HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC

CRD#: 172729 / SEC#: , 8-69523

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1350 Avenue Of The Americas 33rd Floor, New York, NY 10019
Mailing Address
1350 Avenue Of The Americas 33rd Floor, New York, NY 10019
Phone number
(646) 685-4930
Established
Delaware since 07/03/2008
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TIGERRISK PARTNERS LLCSOLE OWNER
COSIO, ROMMEL GOMEZCHIEF COMPLIANCE OFFICER2017788
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
MADEA, JARAD MICHAELCHIEF EXECUTIVE OFFICER4564333
RUTITSKIY, DMITRIYFINOP6117665

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

HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC

CRD#: 172729New York, NY 10019

TRUST BUT VERIFY

Monitor Caroline Mayock

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics