William J. Downes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Joseph Downes was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 3 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2007 - December 31, 2024
VALLEYWOOD CAPITAL GROUP, LLC
July 10, 1992 - June 5, 2001
MCCONNELL, BUDD & ROMANO, INC.
December 21, 1983 - January 20, 1992
KEEFE, BRUYETTE & WOODS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 5/8/2000
Limited Representative-Equity Trader ExamCurrent Firm
VALLEYWOOD CAPITAL GROUP, LLC
CRD#: 141453 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 19 |
| AUM (Assets Under Management) | $ 25,354,933 |
Red Flags
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