Andrew T. Downs
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.
Andrew T Downs was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2008. Andrew had worked at 6 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2016 - July 6, 2017
COREBRIDGE CAPITAL SERVICES, INC.
February 4, 2013 - February 10, 2015
CETERA INVESTMENT SERVICES LLC
February 4, 2013 - February 10, 2015
CETERA FINANCIAL SPECIALISTS LLC
February 4, 2013 - February 10, 2015
CETERA ADVISORS LLC
January 24, 2012 - February 10, 2015
CETERA WEALTH SERVICES, LLC
March 28, 2008 - April 1, 2011
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
