Harold L. Downing
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.
Harold Lee Downing, who also goes by Hal Downing, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1987. Harold had worked at 12 firms and has passed the Series 63, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2011 - December 13, 2012
SECURITY DISTRIBUTORS
June 16, 2010 - January 5, 2011
KBR CAPITAL MARKETS, LLC
March 10, 2010 - June 1, 2010
CABIN SECURITIES, INC.
January 20, 2010 - March 8, 2010
NEWPORT COAST SECURITIES, INC.
July 8, 2003 - October 8, 2003
STILLPOINT WEALTH MANAGEMENT, LLC
March 9, 2000 - August 6, 2001
COREBRIDGE CAPITAL SERVICES, INC.
October 30, 1997 - March 2, 2000
TOWER SQUARE SECURITIES, INC.
January 29, 1996 - September 22, 1997
INVESCO DISTRIBUTORS, INC.
September 15, 1993 - January 11, 1996
NATIXIS DISTRIBUTION, LLC
December 16, 1991 - September 15, 1993
TNE INVESTMENT SERVICES CORPORATION
February 14, 1990 - September 26, 1991
PRUDENTIAL EQUITY GROUP, LLC
June 29, 1987 - August 15, 1989
FOGELMAN SECURITIES COMPANY
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
Current Firm
SECURITY DISTRIBUTORS
CRD#: 3336 / SEC#: , 8-10781
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY BENEFIT LIFE INSURANCE COMPANY | MEMBER | |
| AULETA, KURT EUGENE | SENIOR VICE PRESIDENT, SALES MANAGER WEST | 2463399 |
| BISHOP, COLIN WILLIAM | CFO, TREASURER & FINOP | 7787724 |
| BYRNES, DAVID GERARD | PRESIDENT & HEAD OF DISTRIBUTION | 1318905 |
| CARR, MARK JOSEPH | ASSISTANT VICE PRESIDENT | 2833346 |
| GARHART, GREGORY CHRISTOPHER | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & AML COMPLIANCE OFFICER | 5118892 |
| HILL, CARMEN RENEE | VICE PRESIDENT & ASSISTANT SECRETARY | 2646887 |
| JACQUINOT, JUSTIN ABER | SENIOR VICE PRESIDENT, DIRECT RELATIONSHIPS | 4437252 |
| KILEY, JAMES J | SENIOR VICE PRESIDENT, EDUCATION MARKET & AFFILIATES | 1278905 |
| LACEY, SUSAN JANELLE | ASSISTANT TREASURER | 4930469 |
| MAGHINI, MICHAEL THOMAS | SENIOR VICE PRESIDENT, NATIONAL ACCOUNTS | 1239692 |
| REIDY, MICHAEL KEVIN | SENIOR VICE PRESIDENT | 1323936 |
| ROCHA, MATTHEW VINCENT | SENIOR VICE PRESIDENT, SALES MANAGER EAST | 5207062 |
| TALLEN, AARON MARSHAL | SECOND VICE PRESIDENT, HEAD OF DISTRIBUTION OPERATIONS & 401K DEFINED CONTRIBUTIONS | 4455856 |
| WILEY, DONALD ANDREW | VICE PRESIDENT | 1132196 |
| YOUNG, LISA MICHELLE | ASSISTANT TREASURER | 2596425 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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