Terence J. Downie
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.
Terence James Downie, who also goes by Terry Downie, was a registered financial professional .
Terence is a previously registered financial professional and started their career in finance in 1996. Terence had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 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
October 31, 2023 - January 28, 2025
SENTRY EQUITY SERVICES, INC.
March 7, 2023 - August 28, 2023
NATIONWIDE INVESTMENT ADVISORS, LLC
March 7, 2023 - August 28, 2023
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 28, 2021 - October 29, 2021
TRANSAMERICA RETIREMENT ADVISORS, LLC
July 28, 2021 - October 29, 2021
TRANSAMERICA INVESTORS SECURITIES, LLC
July 13, 2020 - June 29, 2021
L.M. KOHN & COMPANY
July 13, 2020 - June 29, 2021
L.M. KOHN & COMPANY
November 1, 2018 - July 7, 2020
EDELMAN FINANCIAL ENGINES
April 22, 2016 - October 31, 2018
RETIREONE INVESTMENT SERVICES, LLC
August 4, 2014 - November 1, 2018
EDELMAN FINANCIAL SERVICES, LLC
August 4, 2014 - April 22, 2016
SANDERS MORRIS LLC
January 17, 2014 - June 19, 2014
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 4, 2012 - December 31, 2013
L.M. KOHN & COMPANY
June 4, 2012 - December 31, 2013
L.M. KOHN & COMPANY
December 7, 2006 - July 26, 2010
STRATEGIC ADVISERS LLC
September 2, 2005 - July 23, 2010
FIDELITY BROKERAGE SERVICES LLC
June 11, 2004 - July 26, 2005
VALIC FINANCIAL ADVISORS, INC.
May 25, 2004 - July 26, 2005
VALIC FINANCIAL ADVISORS, INC.
October 24, 2003 - May 27, 2004
CHARLES SCHWAB & CO., INC.
December 12, 2001 - May 27, 2004
CHARLES SCHWAB & CO., INC.
August 21, 2000 - November 1, 2001
LASALLE ST SECURITIES, L.L.C.
October 13, 1998 - September 20, 1999
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
June 30, 1997 - October 27, 1998
SIGNATOR INVESTORS, INC.
February 26, 1996 - June 30, 1997
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SENTRY EQUITY SERVICES, INC.
CRD#: 5069 / SEC#: , 8-15078
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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