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Ryan P. Foley

FMI CAPITAL ADVISORS
Denver, CO 80206-5827
Some features on this profile are disabled
CRD#: 4172292
RF

Professional summary

Ryan Peter Foley is a registered financial professional currently at FMI CAPITAL ADVISORS, INC. located in Denver, Colorado.

Ryan is registered as a RR (Registered Representative) and started their career in finance in 2000. Ryan has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Ryan Peter Foley'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

May 1, 2015 - Present

FMI CAPITAL ADVISORS, INC.

Office #1: 44 Cook St Ste 900, Denver, CO 80206-5827
BD
CRD#: 129262
Denver, CO
Past

June 13, 2013 - March 31, 2015

GREEN MANNING & BUNCH, LTD.

BD
CRD#: 35120
DENVER, CO
Past

April 2, 2008 - January 15, 2010

WESTLAKE SECURITIES

BD
CRD#: 127112
AUSTIN, TX
Past

August 7, 2006 - January 10, 2008

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
HOUSTON, TX
Past

July 19, 2000 - August 22, 2005

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA

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
California
(10/10/2024)
RR
Colorado
(5/1/2015)
RR
Florida
(5/1/2015)
RR
North Carolina
(10/10/2024)
RR
Texas
(10/10/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/10/2024
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: 6/12/2013
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FMI CAPITAL ADVISORS, INC.
FMI CAPITAL ADVISORS, INC.

CRD#: 129262 / SEC#: , 8-66206

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

Main Address
44 Cook St Ste 900, Denver, CO 80206-5827
Mailing Address
44 Cook St Ste 900, Denver, CO 80206-5827
Phone number
(303) 377-4740
Established
Colorado since 07/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FMI CORPORATIONPARENT CO.
HUCKABY, TIMOTHY DONPRESIDENT4596179
THORNTON, STEVEN LEECCO / FINOP4496384

Disclosures

Regulatory Event2

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

FMI CAPITAL ADVISORS, INC.

CRD#: 129262Denver, CO 80206-5827

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