John O. 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.
John Osborne Downing was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 4 firms and has passed the Series 63, SIE, Series 7 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 31, 2013 - June 29, 2015
BROWN ADVISORY SECURITIES, LLC
May 15, 2003 - February 4, 2013
CDK FINANCIAL SERVICES, LLC
May 15, 2002 - August 13, 2002
PACTUAL CAPITAL CORPORATION
December 3, 1987 - June 22, 2000
GOLDMAN SACHS & CO. LLC
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
BROWN ADVISORY SECURITIES, LLC
CRD#: 120736 / SEC#: 801-61427, 8-65342
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 392,032,102 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2022 | ||
| 11/24/2021 |
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.
