JV
Jose Vargas
FTI CAPITAL ADVISORS
Toronto, on-m5k-1g8
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CRD#: 7698101
JV
Professional summary
Jose Vargas is a registered financial professional currently at FTI CAPITAL ADVISORS, LLC .
Jose is registered as a RR (Registered Representative) and started their career in finance in 2023. Jose has worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Jose Vargas'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®
NoneExperience
Current
April 5, 2023 - Present
FTI CAPITAL ADVISORS, LLC
Office #1: Td South Tower 79 Wellington Street West Toronto Dominion Center Ste 2010, Toronto, on-m5k-1g8BD
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(7/21/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/13/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 3/27/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
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)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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