James W. 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.
James William Downing was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 1997 - September 14, 1999
PRUDENTIAL EQUITY GROUP, LLC
June 26, 1996 - December 5, 1997
GUARDIAN INVESTOR SERVICES LLC
July 12, 1995 - December 10, 1996
PMG SECURITIES CORPORATION
June 27, 1994 - May 19, 1995
ASHLAND GLOBAL SECURITIES, LLC
December 16, 1992 - November 28, 1994
PMG SECURITIES CORPORATION
June 14, 1990 - December 17, 1992
NEW ENGLAND SECURITIES
November 13, 1989 - May 31, 1990
EQUITABLE ADVISORS, LLC
October 27, 1989 - May 31, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 10, 1989 - November 11, 1989
ROBERT THOMAS SECURITIES, INC
May 20, 1988 - February 17, 1989
J. T. MORAN & CO., INC.
March 22, 1988 - May 23, 1988
SHERWOOD CAPITAL, 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
Current Firm
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
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.
