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SD

Scarff W. Downing

Some features on this profile are disabled
CRD#: 2669346
SD

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.

Scarff Wright Downing IV, who also goes by Guy Downing, Scarff Downing, was a registered financial professional .

Scarff is a previously registered financial professional and started their career in finance in 1995. Scarff had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Guy Downing | Scarff Downing

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

August 13, 2013 - October 3, 2014

WILLIAM AND HENRY ASSOCIATES

BD
CRD#: 154566
LOS ANGELES, CA
Past

August 25, 2005 - May 15, 2013

COLUMBIA WEST CAPITAL, LLC

BD
CRD#: 135562
SCOTTSDALE, AZ
Past

July 8, 1998 - February 4, 2002

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

November 15, 1995 - April 15, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

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: 5/24/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/3/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/8/2005
General Securities Principal Examination

Current Firm

WA
WILLIAM AND HENRY ASSOCIATES
MAR & ASSOCIATES, INC | WILLIAM AND HENRY ASSOCIATES

CRD#: 154566 / SEC#: , 8-68649

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

Main Address
1901 Avenue Of The Stars 2nd Floor, Los Angeles, CA, 90067
Mailing Address
1901 Avenue Of The Stars 2nd Floor, Los Angeles, CA, 90067
Phone number
(310) 461-1355
Established
Arizona since 02/15/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DAVID J. IANNINI FAMILY TRUSTSOLE SHAREHOLDER
DAWSON, JAMES MATTHEWPRINCIPAL3252786
IANNINI, DAVID JOELPRESIDENT / CCO / AML-CO1579957
IANNINI, DAVID JOELTRUSTEE1579957
IANNINI, DAVID JOELFINOP1579957

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

WILLIAM AND HENRY ASSOCIATES

CRD#: 154566

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