Claude L. 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.
Claude Locklan Downs was a registered financial professional .
Claude is a previously registered financial professional and started their career in finance in 1970. Claude had worked at 4 firms and has passed the Series 63, Series 2, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 29, 1989 - December 31, 1992
COMMONWEALTH CHURCH FINANCE, INC.
September 20, 1985 - November 6, 1989
AMI SECURITIES, INC.
February 5, 1985 - July 24, 1985
KEENAN & CLAREY, INC.
June 10, 1983 - March 14, 1985
COMMONWEALTH CHURCH FINANCE, INC.
July 14, 1970 - August 22, 1972
INDEPENDENT SECURITIES CORPORATION
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 2
Date: 12/2/1982
Non-Member General Securities ExaminationSeries 1
Date: 7/8/1970
Registered Representative ExaminationCurrent Firm
COMMONWEALTH CHURCH FINANCE, INC.
CRD#: 11768 / SEC#: , 8-26825
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, JAMES ROCKNE SR | REGISTERED REPRESENTATIVE | 2183457 |
| NORTH, RONALD WILLIAM | REGISTERED REPRESENTATIVE | 1571769 |
| UNRUH, DWAINE EDWIN | VICE PRESIDENT, DIRECTOR | 451720 |
| LANKFORD, ROGER DWIGHT | SENIOR VICE PRESIDENT, DIRECTOR | 1362223 |
| MCGINNIS, SARAH H | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3237797 |
| SIEGEL, JEFFREY STEVEN | CHIEF FINANCIAL OFFICER, FINOP, PRESIDENT, MANAGING PRINCIPAL, TREASURER | 1190934 |
| TURNER, AARON DAVID | VICE PRESIDENT | 2139382 |
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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