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RK

Richard S. Kim

FTI CAPITAL ADVISORS
Toronto, on-m5k-1g8
Some features on this profile are disabled
CRD#: 7205341
RK

Professional summary

Richard Sang-yool Kim, who also goes by Richard San-yool Kim, is a registered financial professional currently at FTI CAPITAL ADVISORS, LLC .

Richard is registered as a RR (Registered Representative) and started their career in finance in 2022. Richard has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard San-Yool Kim

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 Richard Sang-yool Kim'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

December 1, 2022 - Present

FTI CAPITAL ADVISORS, LLC

Office #1: Td South Tower 79 Wellington Street West Toronto Dominion Center Ste 2010, Toronto, on-m5k-1g8
BD
CRD#: 123434
Toronto,

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
New York
(10/31/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/1/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/29/2022
Securities Industry Essentials 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#: 123434Toronto, on-m5k-1g8

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