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EF

Eric W. Ferris

FTI CAPITAL ADVISORS
Denver, CO 80202
Some features on this profile are disabled
CRD#: 2314624
EF

Professional summary

Eric William Ferris, who also goes by Eric Ferris, is a registered financial professional currently at FTI CAPITAL ADVISORS, LLC located in Denver, Colorado.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1993. Eric has worked at 6 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric Ferris

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 Eric William Ferris'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

February 17, 2023 - Present

FTI CAPITAL ADVISORS, LLC

Office #1: 999 17th Street Suite 700, Denver, CO 80202
BD
CRD#: 123434
Denver, CO
Past

June 18, 2018 - January 9, 2023

CAPSTONE PARTNERS

BD
CRD#: 132185
Denver, CO
Past

April 22, 2016 - June 26, 2018

HEADWATERS BD, LLC

BD
CRD#: 117042
DENVER, CO
Past

August 27, 2001 - September 4, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

August 29, 1998 - January 29, 2001

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

January 15, 1994 - October 10, 1996

KEOGLER, MORGAN & COMPANY, INC.

BD
CRD#: 16546
ATLANTA, GA
Past

February 16, 1993 - February 24, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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
Colorado
(2/23/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/29/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 4/22/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/12/1993
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FTI CAPITAL ADVISORS, LLC
FTI CAPITAL ADVISORS, LLC | FTI MERGER & ACQUISITION ADVISORS, LLC

CRD#: 123434 / SEC#: , 8-65587

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

Main Address
555 12th Street, Nw 7th Floor, Washington, DC 20004
Mailing Address
555 12th Street, Nw 7th Floor, Washington, DC 20004
Phone number
+1 (202) 674-0821
Established
Maryland since 07/22/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FTI CONSULTING, INC.OWNER
BOGUSHEFSKY, JEFFREY CHARLESVICE PRESIDENT & FINOP5411106
CRITTENDEN, JOHN CHEROKEE IIICCO / COO1274733
EATON, CHARLES WALTER IIIDEPUTY FINOP7906108
ROSENTHALL, MICHAEL JAMESSECRETARY6933951
TOBIAS, GLENN RICHARDCEO5990465

Disclosures

Regulatory Event1

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

FTI CAPITAL ADVISORS, LLC

CRD#: 123434Denver, CO 80202

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