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CA

Carter Allen

TCG CAPITAL MARKETS L.L.C.
New York, NY 10017
Some features on this profile are disabled
CRD#: 7831881
CA

Professional summary

Carter Allen is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.

Carter is registered as a RR (Registered Representative) and started their career in finance in 2024. Carter has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Carter Allen's CRS (Customer Relationship Summary).
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

August 11, 2025 - Present

TCG CAPITAL MARKETS L.L.C.

Office #1: 1 Vanderbilt Avenue Suite 3400, New York, NY 10017
BD
CRD#: 291767
New York, NY
Past

April 22, 2025 - July 8, 2025

JANUS HENDERSON INVESTORS

RIA
CRD#: 104652
DENVER, CO
Past

March 8, 2024 - July 8, 2025

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO

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
Arkansas
(8/11/2025)
RR
Iowa
(8/18/2025)
RR
Kansas
(8/11/2025)
RR
Louisiana
(8/11/2025)
RR
Minnesota
(8/18/2025)
RR
Missouri
(8/11/2025)
RR
Nebraska
(8/11/2025)
RR
North Dakota
(8/18/2025)
RR
Oklahoma
(8/11/2025)
RR
South Dakota
(8/18/2025)
RR
Texas
(8/11/2025)
RR
Wisconsin
(8/18/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/21/2025
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/24/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/14/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/8/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/27/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TCG CAPITAL MARKETS L.L.C.
TCG CAPITAL MARKETS L.L.C.

CRD#: 291767 / SEC#: , 8-70061

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

Main Address
1 Vanderbilt Avenue Suite 3400, New York, NY 10017
Mailing Address
1 Vanderbilt Avenue Suite 3400, New York, NY 10017
Phone number
(212) 813-4900
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CARLYLE INVESTMENT MANAGEMENT, L.L.C.MEMBER
KRZAK, ALEXANDER JACOBPRINCIPAL OPERATIONS OFFICER6349160
LEFKOWITZ, JOSHUA ADAMOFFICER7216783
LOWENTHAL, MITCHELL NEALCO-CHIEF COMPLIANCE OFFICER6939241
PLOUFFE, JUSTINCEO6223477
QIAN, LIANGSHUNCO-CHIEF COMPLIANCE OFFICER7247412
RIORDAN, TIFFANYFINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER6313437

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

TCG CAPITAL MARKETS L.L.C.

CRD#: 291767New York, NY 10017

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