JD
John P. Downing
B. RILEY SECURITIES
New York, NY 10171
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CRD#: 7123828
JD
Professional summary
John Patrick Downing is a registered financial professional currently at B. RILEY SECURITIES, INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2021. John has worked at 1 firm and has passed the Series 63, SIE and Series 7TO exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view John Patrick Downing's 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®
NoneExperience
Current
July 30, 2021 - Present
B. RILEY SECURITIES, INC.
Office #1: 299 Park Avenue 21st Floor, New York, NY 10171BD
CRD#: 25027
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
Arizona(11/6/2023)
RR
California(7/30/2021)
RR
Colorado(11/6/2023)
RR
Connecticut(11/6/2023)
RR
Florida(11/6/2023)
RR
Illinois(11/6/2023)
RR
Massachusetts(11/6/2023)
RR
Michigan(11/4/2025)
RR
Minnesota(11/6/2023)
RR
New Jersey(11/6/2023)
RR
New York(11/6/2023)
RR
North Carolina(11/6/2023)
RR
Ohio(11/6/2023)
RR
Oregon(11/4/2025)
RR
Pennsylvania(11/6/2023)
RR
Rhode Island(1/10/2024)
RR
South Carolina(11/6/2023)
RR
Tennessee(11/6/2023)
RR
Texas(11/6/2023)
RR
Utah(11/6/2023)
RR
Virginia(1/10/2024)
RR
Washington(11/6/2023)
RR
Wisconsin(11/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/7/2021
General Securities Representative ExaminationSRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BR
B. RILEY SECURITIES, INC.
B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Mailing Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Phone number
(310) 966-1444
Established
Delaware since 06/16/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 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.
