Emma C. Harris
Professional summary
Emma Caroline Harris, who also goes by Emma Harris, is a registered financial professional currently at TCG CAPITAL MARKETS L.L.C. located in New York, New York.
Emma is registered as a RR (Registered Representative) and started their career in finance in 2024. Emma has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Emma Caroline Harris's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 14, 2026 - Present
TCG CAPITAL MARKETS L.L.C.
Office #1: 200 Park Avenue Suite 450, New York, NY 10166January 27, 2025 - July 7, 2026
LORD, ABBETT & CO. LLC
August 6, 2024 - July 7, 2026
LORD ABBETT DISTRIBUTOR 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
(7/14/2026)
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Exams
Series 7TO
Date: 8/6/2024
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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