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TD

Tricia L. Downs

Some features on this profile are disabled
CRD#: 2380364
TD

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.

Tricia Lynn Downs, who also goes by Tricia Downs, was a registered financial professional .

Tricia is a previously registered financial professional and started their career in finance in 1993. Tricia had worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tricia Downs

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 7, 2025 - August 29, 2025

IRONLIGHT MARKETS, LLC

BD
CRD#: 330576
Mount Vernon, NY
Past

October 3, 2016 - July 26, 2017

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

July 26, 2016 - September 8, 2016

CLEARPOOL EXECUTION SERVICES, LLC

BD
CRD#: 168490
NEW YORK, NY
Past

January 9, 2015 - June 29, 2016

TRADE INFORMATICS LLC

BD
CRD#: 143867
New York, NY
Past

July 2, 2012 - July 10, 2014

VIRTU AMERICAS LLC

BD
CRD#: 149823
RED BANK, NJ
Past

November 8, 2002 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
BOSTON, MA
Past

November 1, 1999 - November 4, 2002

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 3, 1995 - July 25, 1996

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

November 11, 1993 - January 4, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/2/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/8/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/26/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/16/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/10/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/22/2024
General Securities Principal Examination

Current Firm

IM
IRONLIGHT MARKETS, LLC
IRONLIGHT MARKETS, LLC

CRD#: 330576 / SEC#: , 8-71224

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
57 Vernon Parkway, Mount Vernon, NY 10552
Mailing Address
57 Vernon Parkway, Mount Vernon, NY 10552
Phone number
(512) 416-8886
Established
Delaware since 03/16/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
IRONLIGHT GROUP INCOWNER
CELEBUSKI, MATTHEW JOHNCHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER1869106
KRIM, ALAN MITCHELLCFO/FINOP2785337

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.

Company Information

IRONLIGHT MARKETS, LLC

CRD#: 330576

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