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SK

Saori Koike

FTP SECURITIES LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 5605898
SK

Professional summary

Saori Koike is a registered financial professional currently at FTP SECURITIES LLC located in San Francisco, California.

Saori is registered as a RR (Registered Representative) and started their career in finance in 2015. Saori has worked at 2 firms and has passed the SIE, Series 99TO and Series 28 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 Saori Koike'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

March 8, 2021 - Present

FTP SECURITIES LLC

Office #1: 100 California Street 7th Floor, San Francisco, CA 94111
BD
CRD#: 129356
San Francisco, CA
Past

December 14, 2015 - March 10, 2021

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 28
Date: 12/14/2015
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FTP SECURITIES LLC
FTP SECURITIES LLC

CRD#: 129356 / SEC#: , 8-66218

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

Main Address
100 California Street 7th Floor, San Francisco, CA 94111
Mailing Address
100 California Street 7th Floor, San Francisco, CA 94111
Phone number
(415) 512-8700
Established
Delaware since 06/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FINANCIAL TECHNOLOGY PARTNERS LPSOLE MEMBER
ALLEN, DAN LOWELL JR.GENERAL COUNSEL & CCO7025803
KOIKE, SAORIFINOP5605898
MCLAUGHLIN, STEVEN JOSEPHMANAGING PARTNER AND CEO2649480

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

FTP SECURITIES LLC

CRD#: 129356San Francisco, CA 94111

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