Thomas J. Downey
Professional summary
Thomas John Downey JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Thomas had worked at 3 firms, which includes WINTRADE INC., BRIARWOOD INVESTMENT COUNSEL, DUKE & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2000 - May 30, 2001
WINTRADE, INC.
March 30, 1998 - September 14, 2000
BRIARWOOD INVESTMENT COUNSEL
September 15, 1993 - April 29, 1998
DUKE & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
WINTRADE, INC.
CRD#: 47863 / SEC#: , 8-51931
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL TRADE & INVESTMENT BANK LIMITED | SHAREHOLDER | |
| MICHAEL KOOYMAN | DIRECTOR | |
| PAUL SHOK | DIRECTOR | |
| PETKANAS FAMILY LIMITED PARTNERSHIP | SHAREHOLDER | |
| THOMAS MANGIONE | DIRECTOR | |
| FARU MSAKA LLC | SHAREHOLDER | |
| BERNASCHINA, GABRIEL MANUEL | FINANCIAL OPERTIONS PRINCIPAL | 1083125 |
Red Flags
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