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MD

Michael E. Downing

PORT SECURITIES
Newport Beach, CA 92663
Some features on this profile are disabled
CRD#: 4595591
MD

Professional summary

Michael Edward Downing is a registered financial professional currently at PORT SECURITIES, INC. located in Newport Beach, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 2 firms and has passed the Series 63, SIE, Series 22 and Series 6 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 Michael Edward Downing's CRS (Customer Relationship Summary).
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 20, 2002 - Present

PORT SECURITIES, INC.

Office #1: 2717 W Coast Hwy, Newport Beach, CA 92663
BD
CRD#: 43936
Newport Beach, CA
Past

February 24, 2005 - September 1, 2005

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEW YORK, 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
California
(5/9/2006)
RR
Nevada
(8/17/2021)
RR
Texas
(11/11/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/16/2003
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 22
Date: 12/23/2004
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/19/2002
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PORT SECURITIES, INC.
PORT SECURITIES, INC.

CRD#: 43936 / SEC#: , 8-50492

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

Main Address
2717 W. Coast Hwy, Newport Beach, CA 92663
Mailing Address
2717 W. Coast Hwy, Newport Beach, CA 92663
Phone number
(949) 574-9286
Established
California since 07/09/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LEMMON, RICHARD HORATIO JRPRESIDENT, CFO,CCO & SECRETARY1874827

Disclosures

Regulatory Event1

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

PORT SECURITIES, INC.

CRD#: 43936Newport Beach, CA 92663

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