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RW

Richard T. Williams

FIRST AVENUE
London, W1C 1BQ
Some features on this profile are disabled
CRD#: 7681153
RW

Professional summary

Richard Tobias Williams, who also goes by Toby Williams, is a registered financial professional currently at FIRST AVENUE .

Richard is registered as a RR (Registered Representative) and started their career in finance in 2025. Richard has worked at 1 firm and has passed the Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Toby Williams

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 Tobias Williams'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

March 18, 2025 - Present

FIRST AVENUE

Office #1: Swan House 3rd Floor 17-19 Stratford Place, London, W1C 1BQ
BD
CRD#: 145860
London,

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
Series 99TO
Date: 3/15/2025
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 2/27/2025
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FA
FIRST AVENUE
FAP USA, L.P. | FIRST AVENUE

CRD#: 145860 / SEC#: , 8-67758

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

Main Address
461 Fifth Avenue 14th Floor, New York, NY 10017
Mailing Address
461 Fifth Avenue 14th Floor, New York, NY 10017
Phone number
(646) 582-5777
Established
Delaware since 02/14/2007
Firm type
Partnership
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FAP USA, L.L.C.LIMITED PARTNER
BUCKLEY, PAUL DEREKPARTNER, CEO1822709
FAP GEN PAR, L.L.C.GP
PLANT, LYDIA HYUNJUFINOP, CFO AND COO7390471
RYAN, KIMBERLY ANNCHIEF COMPLIANCE OFFICER4316310

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

FIRST AVENUE

CRD#: 145860London, W1C 1BQ

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