David W. Fowkes

FTI CAPITAL ADVISORS

Los Angeles, CA 90071

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CRD#: 2662787

Professional summary

David William Fowkes, who also goes by David Fowkes, is a registered financial professional currently at FTI CAPITAL ADVISORS, LLC located in Los Angeles, California.

David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 79 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Fowkes

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 David William Fowkes'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

October 25, 2023 - Present

FTI CAPITAL ADVISORS, LLC

Office #1: 350 S Grand Avenue Sate 3000, Los Angeles, CA 90071

CRD#: 123434

Los Angeles, CA

Past

May 7, 2020 - July 7, 2023

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

HOUSTON, TX

Past

June 22, 2018 - May 21, 2020

IMPERIAL CAPITAL, LLC

CRD#: 43744

HOUSTON, TX

Past

December 20, 2010 - November 5, 2012

SEABURY SECURITIES LLC

CRD#: 41916

SUMMIT, NJ

Past

August 9, 2007 - December 31, 2008

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

December 4, 2002 - July 11, 2007

SEABURY SECURITIES LLC

CRD#: 41916

SUMMIT, NJ

Past

May 16, 2000 - March 6, 2002

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 1, 1998 - May 23, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 7, 1995 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(10/25/2023)

New York
(10/25/2023)

Texas
(10/25/2023)

Exams

State Security Law Exam

Series 63

Date: 7/2/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2018

General Securities Representative Examination

General Industry/Product Exam

Series 79

Date: 6/22/2018

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 3

Date: 10/30/1995

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

FTI CAPITAL ADVISORS, LLC

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

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

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
FTI CONSULTING, INC.	OWNER
BOGUSHEFSKY, JEFFREY CHARLES	VICE PRESIDENT & FINOP	5411106
CRITTENDEN, JOHN CHEROKEE III	CCO / COO	1274733
EATON, CHARLES WALTER III	DEPUTY FINOP	7906108
ROSENTHALL, MICHAEL JAMES	SECRETARY	6933951
TOBIAS, GLENN RICHARD	CEO	5990465

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

David W. Fowkes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David William Fowkes's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

IMPERIAL CAPITAL, LLC

SEABURY SECURITIES LLC

DEUTSCHE BANK SECURITIES INC.

SEABURY SECURITIES LLC

LEHMAN BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/2/2019

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2018

Series 79

Date: 6/22/2018

Series 3

Date: 10/30/1995

FINRA

Current Firm

FTI CAPITAL ADVISORS, LLC

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FTI CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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