JD
John C. Downing
HINDS FINANCIAL GROUP
LAKEWOOD, CO 80228
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CRD#: 1049179
JD
Professional summary
John Carter Downing, who also goes by John Carter Downing II, is a registered financial advisor currently at HINDS FINANCIAL GROUP INC located in Lakewood, Colorado and CETERA INVESTMENT ADVISERS LLC located in Lakewood, Colorado.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. John has worked at 9 firms and has passed the Series 66, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Carter Downing Ii
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 9/1970; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: HINDS FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: 141 UNION BLVD, SUITE 350, LAKEWOOD, CO 80228, NATURE OF BUSINESS: FINANCIAL SERVICES, POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE, START DATE: 2001, APPROX NUMBER OF HOURS PER WEEK: 40, BRIEF DESCRIPTION OF DUTIES: FINANCIAL AND INVESTMENT ADVISORY SERVICES; 3. NAME OF OTHER BUSINESS: THE DOWN COURT GROUP, INC; INVESTMENT RELATED: YES; ADDRESS: 5299 DTC BLVD STE 540, GREENWOOD VILLAGE, CO 80111; NATURE OF BUSINESS: FIXED INSURANCE; POSITION/TITLE/RELATIONSHIP: PRESIDENT; START DATE: 05/2017; APX NUMBER OF HOURS PER WEEK: 40; BRIEF DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE;
CRS (Client Relationship Summary) - RIA
Click below to view John Carter Downing'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
June 7, 2006 - Present
HINDS FINANCIAL GROUP INC
Office #1: 141 Union Blvd. Suite 350, Lakewood, CO 80228RIA
CRD#: 129971
LAKEWOOD, CO
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 141 Union Blvd Ste 350, Lakewood, CO 80228RIA
CRD#: 105644
LAKEWOOD, CO
Current
July 30, 2001 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 141 Union Blvd Ste 350, Lakewood, CO 80228BD
CRD#: 13572
Lakewood, CO
Past
September 14, 2001 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
GREENWOOD VILLAGE, CO
Past
August 8, 2001 - March 24, 2006
HINDS FINANCIAL GROUP
RIA
CRD#: 109260
ENGLEWOOD, CO
Past
August 22, 1997 - August 27, 2001
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
July 16, 1993 - August 20, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
January 29, 1992 - June 28, 1994
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
October 21, 1988 - January 6, 1992
PHILADELPHIA FINANCIAL ADVISORS, INC.
BD
CRD#: 7149
PHILADELPHIA, PA
Past
December 5, 1983 - August 11, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
California(6/25/2002)
RR
Colorado(7/30/2001)
IAR
Colorado(6/7/2006)
RR
Texas(8/15/2014)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
