Kenji J. Kimura

NORTHCAPE WEALTH MANAGEMENT

Williamsville, NY 14221

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CRD#: 4807888

Professional summary

Kenji J Kimura is a registered financial advisor currently at NORTHCAPE WEALTH MANAGEMENT located in Williamsville, New York.

Kenji is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Kenji has worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Kenji J Kimura's CRS (Customer Relationship Summary).

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 23, 2021 - Present

NORTHCAPE WEALTH MANAGEMENT

Office #1: 6565 Main Street, Williamsville, NY 14221

RIA

CRD#: 312350

Williamsville, NY

Past

July 17, 2008 - May 24, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WILLIAMSVILLE, NY

Past

July 17, 2008 - May 24, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WILLIAMSVILLE, NY

Past

May 21, 2007 - July 24, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

GETZVILLE, NY

Past

May 21, 2007 - July 24, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 20, 2004 - February 12, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BUFFALO, NY

Past

August 12, 2004 - February 12, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BUFFALO, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHCAPE WEALTH MANAGEMENT

NORTH CAPE WEALTH MANAGEMENT | NORTHCAPE WEALTH MANAGEMENT, LLC | NORTHCAPE WEALTH MANAGEMENT

CRD#: 312350 / SEC#: 801-120425

RIA

Registered Investment Advisory firm - (3/4/2021 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(5/23/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/16/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/22/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/5/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/11/2004

General Securities Representative Examination

Current Firm

NORTHCAPE WEALTH MANAGEMENT

NORTH CAPE WEALTH MANAGEMENT | NORTHCAPE WEALTH MANAGEMENT, LLC | NORTHCAPE WEALTH MANAGEMENT

CRD#: 312350 / SEC#: 801-120425

RIA

Registered Investment Advisory firm - (3/4/2021 Approved)

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Contact information

Main Address

6565 Main Street, Williamsville, NY 14221

Mailing Address

Phone number

(71) 632-6565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHCAPE WEALTH MANAGEMENT FORM ADV PART 2A APPENDIX 1 WRAP BROCHURE (3/19/2025)

NORTHCAPE WEALTH MANAGEMENT FORM ADV PART 2A BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	1,405
AUM (Assets Under Management)	$ 614,524,913

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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Kenji J. Kimura

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenji J Kimura's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NORTHCAPE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 9/16/2004

Series 7TO

Date: 3/22/2024

SIE

Date: 10/1/2018

Series 3

Date: 8/5/2010

Series 7

Date: 8/11/2004

Current Firm

NORTHCAPE WEALTH MANAGEMENT

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHCAPE WEALTH MANAGEMENT

TRUST BUT VERIFY

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