Robert F. Downing
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.
Robert Francis Downing was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1965. Robert had worked at 6 firms and has passed the Series 63, Series 1, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 1985 - January 14, 2009
DOWNING & CO., INC.
March 9, 1981 - October 25, 1983
BERKELEY SECURITIES CORPORATION
December 10, 1979 - July 30, 1980
S & A REALIZATION CORP.
January 18, 1978 - April 30, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
January 8, 1965 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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
Series 1
Date: 1/25/1963
Registered Representative ExaminationSeries 40
Date: 3/27/1972
Registered Principal ExaminationCurrent Firm
DOWNING & CO., INC.
CRD#: 14144 / SEC#: , 8-34156
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOWCO HOLDINGS, LLC | 100% OWNER | |
| DOWNING, ROBERT FRANCIS | PRESIDENT CCO | 71366 |
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.
