Catheryne J. Downs
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.
Catheryne June Downs, who also goes by Catheryne June Bandurraga, Catheryne Bandurraga-downs, Catheryne J Downs, Cathy Downs, Catheryne Lowery, Catheryne Miller, was a registered financial advisor .
Catheryne is a previously registered financial advisor and started their career in finance in 1990. Catheryne had worked at 10 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2011 - June 6, 2011
QUESTAR CAPITAL CORPORATION
April 1, 2011 - June 6, 2011
QUESTAR ASSET MANAGEMENT, INC.
December 7, 2010 - April 26, 2011
PARTNERVEST ADVISORY SERVICES LLC
January 10, 2008 - September 29, 2010
ADVISORY GROUP WEST
June 8, 2007 - September 7, 2010
COMMONWEALTH FINANCIAL NETWORK
April 12, 2006 - September 7, 2010
COMMONWEALTH FINANCIAL NETWORK
September 22, 2004 - April 17, 2006
ASSOCIATED SECURITIES CORP.
April 8, 2002 - September 13, 2004
OSAIC WEALTH, INC.
August 3, 1998 - September 22, 2000
TOWER SQUARE SECURITIES, INC.
January 8, 1997 - July 28, 1998
TRANSAMERICA FINANCIAL ADVISORS, INC.
September 5, 1990 - December 13, 1996
TRANSAMERICA SECURITIES SALES CORPORATION
September 5, 1990 - December 13, 1996
TRANSAMERICA FINANCIAL ADVISORS, 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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
