James R. Downing

JONES LANG LASALLE SECURITIES

Dallas, TX 75201

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CRD#: 5514806

Professional summary

James Roth Downing, who also goes by Jim Downing, is a registered financial professional currently at JONES LANG LASALLE SECURITIES, LLC located in Dallas, Texas.

James is registered as a RR (Registered Representative) and started their career in finance in 2008. James has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 54, Series 53, Series 27 and Series 24 exams.

Question & Answer

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Aliases

Jim Downing

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.

** URBAN VILLAGE CHURCH 1543 W DIVISION STREET, CHICAGO, IL 60690 Member OF FINANCIAL COMMITTEE 5 HOURS PER MONTH ARE CONTRIBUTED TO THIS ACTIVITY WITHOUT COMPENSATION. THIS IS SOLELY A GOVERNANCE POSITION AND DOES NOT GRANT ACCESS TO ANY FUNDS OR SECURITIES OF THE CHURCH. THE MAIN ROLE IS TO ASSIST WITH BUDGETING ON AN ANNUAL BASIS AND MONITORING FINANCIAL DATA.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Roth 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

June 26, 2024 - Present

JONES LANG LASALLE SECURITIES, LLC

Office #1: 2401 Cedar Springs Suite 100, Dallas, TX 75201

CRD#: 120738

Dallas, TX

Past

October 28, 2021 - November 17, 2023

MORNINGSTAR INVESTMENT SERVICES LLC

RIA

CRD#: 112525

CHICAGO, IL

Past

July 9, 2021 - November 17, 2023

MORNINGSTAR INVESTMENT SERVICES LLC

CRD#: 112525

CHICAGO, IL

Past

November 28, 2017 - April 23, 2021

AON SECURITIES LLC

CRD#: 4138

CHICAGO, IL

Past

June 2, 2016 - August 3, 2017

BMO INVESTMENT DISTRIBUTORS, LLC

CRD#: 146711

CHICAGO, IL

Past

October 7, 2014 - September 12, 2017

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

CHICAGO, IL

Past

October 7, 2014 - September 12, 2017

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

CHICAGO, IL

Past

October 1, 2012 - October 8, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CHICAGO, IL

Past

October 1, 2012 - October 8, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

March 1, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

July 7, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

August 3, 2009 - June 9, 2011

CHEEVERS & COMPANY, LLC

CRD#: 31312

CHICAGO, IL

Past

May 13, 2008 - July 31, 2009

SUNGARD INSTITUTIONAL BROKERAGE INC.

CRD#: 8509

LOMBARD, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(6/26/2024)

Georgia
(6/26/2024)

Illinois
(6/26/2024)

New York
(6/26/2024)

Texas
(7/21/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/16/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/20/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 54

Date: 9/3/2024

Municipal Advisor Principal Qualification Examination

Principal/Supervisory Exam

Series 53

Date: 10/28/2009

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 11/17/2008

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/31/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

JONES LANG LASALLE SECURITIES, LLC

JLL SECURITIES | JONES LANG LASALLE SECURITIES, LLC

CRD#: 120738 / SEC#: , 8-65341

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

200 East Randolph Drive 44th Floor, Chicago, IL 60601

Mailing Address

200 East Randolph Drive 44th Floor, Chicago, IL 60601

Phone number

(312) 404-7582

Established

Illinois since 04/23/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JONES LANG LASALLE AMERICAS, INC.	DIRECT OWNER
JOSEPH, MICHAEL SCOTT	MANAGING PRINCIPAL / CHIEF OPERATIONS OFFICER	4231268
CASHDAN, DANIEL MICHAEL	PRESIDENT AND GENERAL SECURITIES PRINCIPAL	1910672
DORFMAN, ESTEE CARLA	PRINCIPAL FINANCIAL OFFICER	2696529
DORFMAN, ESTEE CARLA	FINANCIAL OPERATIONS PRINCIPAL	2696529
DOWNING, JAMES ROTH	PRINCIPAL OPERATIONS OFFICER	5514806
DOWNING, JAMES ROTH	CHIEF COMPLIANCE OFFICER	5514806

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.

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Advisor Monitoring

Firm Stability Insights

James R. Downing

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Roth Downing's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORNINGSTAR INVESTMENT SERVICES LLC

MORNINGSTAR INVESTMENT SERVICES LLC

AON SECURITIES LLC

BMO INVESTMENT DISTRIBUTORS, LLC

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHEEVERS & COMPANY, LLC

SUNGARD INSTITUTIONAL BROKERAGE INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/16/2012

Series 63

Date: 6/20/2008

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 54

Date: 9/3/2024

Series 53

Date: 10/28/2009

Series 27

Date: 11/17/2008

Series 24

Date: 5/31/2008

FINRA

Current Firm

JONES LANG LASALLE SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

JONES LANG LASALLE SECURITIES, LLC

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