DD
Daniel J. Downing
TOUCHSTONE SECURITIES
CINCINNATI, OH 45202
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CRD#: 2976951
DD
Professional summary
Daniel Joseph Downing is a registered financial professional currently at TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1997. Daniel has worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Joseph Downing's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 28, 2000 - Present
TOUCHSTONE SECURITIES, INC.
Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202BD
CRD#: 1526
CINCINNATI, OH
Past
November 24, 1998 - March 28, 2000
ARM SECURITIES CORPORATION
BD
CRD#: 932
MINOT, ND
Past
December 10, 1997 - August 3, 1998
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/21/2010)
RR
Alaska(10/21/2010)
RR
Arizona(10/20/2010)
RR
Arkansas(10/21/2010)
RR
California(10/21/2010)
RR
Colorado(10/21/2010)
RR
Connecticut(12/12/2006)
RR
Delaware(10/21/2010)
RR
District of Columbia(10/21/2010)
RR
Florida(12/12/2006)
RR
Georgia(9/7/2010)
RR
Hawaii(10/21/2010)
RR
Idaho(10/21/2010)
RR
Illinois(10/21/2010)
RR
Indiana(10/21/2010)
RR
Iowa(10/21/2010)
RR
Kansas(10/20/2010)
RR
Kentucky(10/21/2010)
RR
Louisiana(10/21/2010)
RR
Maine(9/7/2010)
RR
Maryland(9/7/2010)
RR
Massachusetts(9/7/2010)
RR
Michigan(10/21/2010)
RR
Minnesota(10/21/2010)
RR
Mississippi(10/21/2010)
RR
Missouri(10/21/2010)
RR
Montana(10/21/2010)
RR
Nebraska(10/21/2010)
RR
Nevada(10/21/2010)
RR
New Hampshire(10/21/2010)
RR
New Jersey(12/12/2006)
RR
New Mexico(10/21/2010)
RR
New York(3/28/2000)
RR
North Carolina(9/7/2010)
RR
North Dakota(10/21/2010)
RR
Ohio(10/27/2010)
RR
Oklahoma(10/21/2010)
RR
Oregon(10/21/2010)
RR
Pennsylvania(10/20/2010)
RR
Puerto Rico(10/21/2010)
RR
Rhode Island(10/21/2010)
RR
South Carolina(10/21/2010)
RR
South Dakota(10/21/2010)
RR
Tennessee(10/21/2010)
RR
Texas(10/21/2010)
RR
Utah(10/21/2010)
RR
Vermont(10/21/2010)
RR
Virginia(10/21/2010)
RR
Washington(10/21/2010)
RR
West Virginia(10/21/2010)
RR
Wisconsin(10/21/2010)
RR
Wyoming(10/21/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TOUCHSTONE SECURITIES, INC.
CONTINENTAL MANAGEMENT, INC. | TOUCHSTONE SECURITIES, INC.
CRD#: 1526 / SEC#: , 8-14052
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Mailing Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Phone number
(513) 362-8000
Established
Nebraska since 02/27/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFS FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AARTS, ERIK | VP, SENIOR FIXED INCOME STRATEGIST | 2556961 |
| ALGE, BENJAMIN J | PRESIDENT | 6225581 |
| BRAY, TIMOTHY ALLEN | DIVISIONAL VICE PRESIDENT | 1858477 |
| CONNELLY, LINDSAY MICHELLE | AVP & ASSISTANT TREASURER | 7212999 |
| COSTANZA, TIMOTHY JOHN | VP MANAGING DIRECTOR INSTITUTIONAL DEVELOPMENT | 4471461 |
| HERRON, SARAH SPARKS | SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | VP, CORPORATE FINANCE AND TREASURER | 6607547 |
| JONES, MICHAEL STEPHEN | ASSISTANT VICE PRESIDENT | 5537600 |
| KOERNER, RICHARD MICHAEL | VP, SENIOR ETF SALES SPECIALIST | 2249223 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOCK, MARY TAYLOR | SVP & HEAD OF DISTRIBUTION | 5276399 |
| MORSE, JULIE LYNN | SVP, MARKETING | 6743435 |
| MUSGROVE, JOHN S | AVP - ASSISTANT TREASURER | 6607165 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE | 1327230 |
| WIEDENHEFT, TERRIE ANN | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 2619213 |
| WITTMAN, SCOTT | VICE PRESIDENT, TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
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
TOUCHSTONE SECURITIES, INC.
CRD#: 1526Cincinnati, OH 45202TRUST BUT VERIFY
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