Brendan J. 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.
Brendan Joseph Downing, who also goes by Brendan Downing, was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 2002. Brendan had worked at 2 firms and has passed the Series 63, Series 55 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
January 5, 2004 - February 5, 2014
E. H. SMITH JACOBS & CO., INC.
April 8, 2002 - October 28, 2003
BUCKMAN, BUCKMAN & REID, 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: 10/11/2003
Limited Representative-Equity Trader ExamCurrent Firm
E. H. SMITH JACOBS & CO., INC.
CRD#: 3429 / SEC#: , 8-36808
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND C. FORBES FAMILY TRUST I | SHAREHOLDER | |
| RAYMOND C. FORBES REVOCABLE TRUST | SHAREHOLDER | |
| FORBES, MARIE-REGINA | PRESIDENT/FINOP/CCO/TREASURER | 2106108 |
| FORBES, PATRICIA MARY | VP/SROP/CROP/SECRETARY | 2241513 |
| FORBES, RAYMOND CLEMENT | TRUSTEE, FAMILY TRUST I AND RAYMOND C. FORBES REVOCABLE TRUST | 210968 |
| MCMULLIN, KIMBALL R. | TRUSTEE, FAMILY TRUST I | 5304349 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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