FIND A THL CAPITAL MARKETS, LLC FINANCIAL ADVISOR NEAR ME

Find, Compare and Monitor Financial Advisors at THL CAPITAL MARKETS, LLC

CRD#: 316511
BD

Looking for a Financial Advisor at THL CAPITAL MARKETS, LLC?

We have compiled every financial advisor who works at THL CAPITAL MARKETS, LLC in our database for you to search through. On this page, you will be able to find the closest financial advisors to you geographically, advisors with specific certifications that you are looking for, as well as many other filtering capabilities to help you search.

If you need additional assistance finding the specific financial advisor you are looking for, please use our search tool below and type in either their name or CRD number.

FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

THL CAPITAL MARKETS, LLC is located at 100 Federal Street, Boston, MA 02110 and was first established at Boston, Delaware in 07/30/2021. After operating for 4 years, THL CAPITAL MARKETS, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of THL CAPITAL MARKETS, LLC’s clients are individuals and 0% of their clients are high net worth individuals. THL CAPITAL MARKETS, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at THL CAPITAL MARKETS, LLC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access THL CAPITAL MARKETS, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at THL CAPITAL MARKETS, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

Crafted using large generative AI models

Where the Statistical Data for THL CAPITAL MARKETS, LLC Comes From

Understanding the Statistics for THL CAPITAL MARKETS, LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
No Disclosures

FIRM INFORMATION

Main Address
100 Federal Street, Boston, MA 02110
Mailing Address
100 Federal Street, Boston, MA 02110
Firm Size
Small
Phone Number
(617) 227-1050
Established
Delaware since 07/30/2021
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
THL CAPITAL MARKETS MANAGER, LLCSOLE MEMBER
BUSH, SARAHCHIEF COMPLIANCE OFFICER5841363
FORTINO, ROBERT ANTHONYFINOP/PFO/POO1905741
MAXON, GREGORY ROSSPRESIDENT5374395

The Importance of Understanding a Firm’s Role when Evaluating an Advisor

How Do I Determine Which Firm to Work With?

Advisor's working at THL CAPITAL MARKETS, LLC

RF

Robert Anthony Fortino

RR
CRD#: 1905741
Location:
New York, NY 10036
Company:
UOB GLOBAL EQUITY SALES LLC
Disclosures:
Experience:
27 years
SB

Sarah Bush

Sarah E Bush, Sarah Elizabeth Bush
RR
CRD#: 5841363
Location:
Ann Arbor, MI 48108
Company:
CONCORDE INVESTMENT SERVICES, LLC
Disclosures:
Experience:
10 years
GM

Gregory Ross Maxon

RR
CRD#: 5374395
Location:
Boston, MA 02110
Company:
THL CAPITAL MARKETS, LLC
Disclosures:
Experience:
18 years
Name or CRD#
Location
Firm name (optional)
Credentials
Advisor type
Disclosures
Experience (Years)

Compare statistics for financial advisors here.

Review financial advisor disclosures here.

footer-logo

AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.