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Current Employers
Tlg Advisors, Inc.

475 Springfield Ave, Summit, NJ 07901 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-02-28
  • NY RA
    APPROVED
    Since 2024-02-28

Branch Locations

475 Springfield Ave, Summit, NJ 07901 • United States

2049 Century Park E Suite 1940, Los Angeles, CA 90067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Johcm (Usa) Inc. New York NY 08/2017 09/2022
Foreside Financial Services, Llc New York NY 08/2018 07/2021
Not Employed Due To Non-Competition Restriction New York NY 08/2016 08/2017
Johcm Funds Distributors, Llc New York NY 07/2021 09/2022
Unemployed New York NY 09/2022 02/2024
The Leaders Group Inc Littleton CO 02/2024 Present
Gideon Los Angeles CA 02/2024 Present
  • 08/2017 → 09/2022
    Johcm (Usa) Inc.
    New York, NY
  • 08/2018 → 07/2021
    Foreside Financial Services, Llc
    New York, NY
  • 08/2016 → 08/2017
    Not Employed Due To Non-Competition Restriction
    New York, NY
  • 07/2021 → 09/2022
    Johcm Funds Distributors, Llc
    New York, NY
  • 09/2022 → 02/2024
    Unemployed
    New York, NY
  • 02/2024 → Present
    The Leaders Group Inc
    Littleton, CO
  • 02/2024 → Present
    Gideon
    Los Angeles, CA
Other Businesses

1. GIDEON - 2049 Century Park E, Suite 1940, Los Angeles, CA 90067 - Senior Portfolio Manager, Manage client portfolios/participate in client meetings/write market updates for dissemination to clients, Invt Rel, Insurance business, 160 hrs/mo; 0 hrs/mo (during trading hours). 2.) TLG ADVISORS INC - 2/28/2024 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, RA business, 10 hrs/mo; 10 hrs/mo (during trading hours).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-02-23
S63 Uniform Securities Agent State Law Examination 2018-12-21
  • S65 Uniform Investment Adviser Law Examination
    2024-02-23
  • S63 Uniform Securities Agent State Law Examination
    2018-12-21
Other Names
  • Giorgio G Caputo
  • Giorgio G Caputo

View on SEC IAPD

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