David J. Downey
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.
David James Downey was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 9 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 27, Series 24, Series 53, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 1998 - May 12, 2025
HERNDON PLANT OAKLEY, LTD.
March 2, 1998 - October 9, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
October 28, 1994 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
August 24, 1993 - June 23, 1994
TRADESTAR INVESTMENTS,INC.
November 8, 1990 - November 10, 1994
AMERIPRISE ADVISOR SERVICES, INC.
July 18, 1989 - October 9, 1989
CAMBRIDGE-NEWPORT COMPANY, INC.
January 3, 1989 - July 25, 1989
MARSHALL DAVIS, INC.
June 24, 1987 - January 9, 1989
BLINDER, ROBINSON & CO., 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 11/9/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 7/13/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HERNDON PLANT OAKLEY, LTD.
CRD#: 44971 / SEC#: 801-55675, 8-50912
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 268 |
| AUM (Assets Under Management) | $ 92,904,841 |
Red Flags
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