TD
Thomas K. Downes
PIMCO INVESTMENTS LLC
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 4215772
TD
Professional summary
Thomas Kevin Downes, who also goes by Thomas Downes, Tom Downes, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Newport Beach, California.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2005. Thomas has worked at 6 firms and has passed the Series 66, Series 3, Series 57TO, SIE, Series 55, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Downes | Tom Downes
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 Thomas Kevin Downes'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 31, 2025 - Present
PIMCO INVESTMENTS LLC
Office #1: 650 Newport Center Dr., Newport Beach, CA 92660BD
CRD#: 154957
Newport Beach, CA
Past
September 14, 2022 - May 31, 2023
RCX CAPITAL GROUP, LLC
BD
CRD#: 114290
THE WOODLANDS, TX
Past
January 8, 2020 - January 20, 2021
JRL CAPITAL CORPORATION
BD
CRD#: 10225
IRVINE, CA
Past
March 23, 2017 - January 25, 2019
PASSCO CAPITAL, INC.
BD
CRD#: 117323
IRVINE, CA
Past
October 17, 2005 - July 14, 2016
ROTH CAPITAL PARTNERS, LLC
RIA
CRD#: 15407
NEWPORT BEACH, CA
Past
October 17, 2005 - July 14, 2016
ROTH CAPITAL PARTNERS, LLC
BD
CRD#: 15407
NEWPORT BEACH, CA
Past
April 20, 2005 - October 10, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PASADENA, CA
Past
March 30, 2005 - October 10, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(3/31/2025)
RR
Alaska(3/31/2025)
RR
Arizona(3/31/2025)
RR
Arkansas(3/31/2025)
RR
California(3/31/2025)
RR
Colorado(3/31/2025)
RR
Connecticut(3/31/2025)
RR
Delaware(3/31/2025)
RR
District of Columbia(3/31/2025)
RR
Florida(3/31/2025)
RR
Georgia(3/31/2025)
RR
Hawaii(3/31/2025)
RR
Idaho(3/31/2025)
RR
Illinois(3/31/2025)
RR
Indiana(3/31/2025)
RR
Iowa(3/31/2025)
RR
Kansas(3/31/2025)
RR
Kentucky(3/31/2025)
RR
Louisiana(3/31/2025)
RR
Maine(3/31/2025)
RR
Maryland(3/31/2025)
RR
Massachusetts(3/31/2025)
RR
Michigan(3/31/2025)
RR
Minnesota(3/31/2025)
RR
Mississippi(3/31/2025)
RR
Missouri(3/31/2025)
RR
Montana(3/31/2025)
RR
Nebraska(3/31/2025)
RR
Nevada(3/31/2025)
RR
New Hampshire(3/31/2025)
RR
New Jersey(3/31/2025)
RR
New Mexico(3/31/2025)
RR
New York(3/31/2025)
RR
North Carolina(3/31/2025)
RR
North Dakota(3/31/2025)
RR
Ohio(4/1/2025)
RR
Oklahoma(3/31/2025)
RR
Oregon(3/31/2025)
RR
Pennsylvania(3/31/2025)
RR
Puerto Rico(3/31/2025)
RR
Rhode Island(3/31/2025)
RR
South Carolina(3/31/2025)
RR
South Dakota(3/31/2025)
RR
Tennessee(3/31/2025)
RR
Texas(3/31/2025)
RR
Utah(3/31/2025)
RR
Vermont(3/31/2025)
RR
Virgin Islands(3/31/2025)
RR
Virginia(3/31/2025)
RR
Washington(3/31/2025)
RR
West Virginia(3/31/2025)
RR
Wisconsin(3/31/2025)
RR
Wyoming(3/31/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 57TO
Date: 3/2/2024
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/26/2006
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 739-3000
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
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.
