Carey V. Downing Jr.
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.
Carey Velmont Downing Jr., who also goes by Carey Downing, was a registered financial professional .
Carey is a previously registered financial professional and started their career in finance in 2009. Carey had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2019 - June 3, 2022
AVANTAX ADVISORY SERVICES
October 25, 2019 - June 3, 2022
AVANTAX INVESTMENT SERVICES, INC.
October 6, 2009 - October 25, 2019
1ST GLOBAL ADVISORS INC
October 6, 2009 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
March 5, 2009 - November 23, 2009
AVANTAX ADVISORY SERVICES
January 29, 2009 - November 23, 2009
AVANTAX INVESTMENT SERVICES, INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
