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JD

Joseph J. Downing

ALANTRA
Boston, MA 02110
Some features on this profile are disabled
CRD#: 4369374
JD

Professional summary

Joseph James Downing JR. is a registered financial professional currently at ALANTRA, LLC located in Boston, Massachusetts.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2002. Joseph has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 62 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph James Downing JR.'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®
None

Experience

Current

November 27, 2002 - Present

ALANTRA, LLC

Office #1: 160 Federal Street Suite 1302, Boston, MA 02110
BD
CRD#: 22095
Boston, MA

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
Massachusetts
(11/27/2002)

Exams

State Security Law Exam
RR
Series 63
Date: 10/17/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 11/26/2002
Corporate Securities Limited Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AL
ALANTRA, LLC
ALANTRA, LLC | DOWNER & COMPANY, LLC | DOWNER & COMPANY

CRD#: 22095 / SEC#: , 8-40465

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

Main Address
160 Federal Street Suite 1302, Boston, MA 02110
Mailing Address
160 Federal Street Suite 1302, Boston, MA 02110
Phone number
(617) 482-6200
Established
Massachusetts since 12/29/1996
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

Direct owners and executive officers

NamePositionCRD#
ALANTRA U.S. CORPORATIONMEMBER
AUST, ROBERT WADEMANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER2569946
CHAN, STANLEY NMNCHIEF COMPLIANCE OFFICER4184811
ROSA, STACEY ANNFINOP, PFO, POO2761733

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

ALANTRA, LLC

CRD#: 22095Boston, MA 02110

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