Joseph M. 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.
Joseph Michael Downs, who also goes by Joe Downs, Joseph M Downs, Joseph Michael Downs Mr, Joseph Michael Downs, Joseph Downs, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2011. Joseph had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2017 - April 6, 2018
VANGUARD MARKETING CORPORATION
June 14, 2017 - April 6, 2018
VANGUARD ADVISERS, INC.
May 6, 2016 - August 23, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
May 26, 2015 - March 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 2015 - March 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 19, 2013 - November 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 8, 2013 - November 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 2012 - June 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 2012 - June 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2011 - February 24, 2012
PENATES GROUP, 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
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
