Thomas 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.
Thomas Lee Downs, who also goes by Tom Downs, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 3 firms and has passed the Series 63, Series 3, Series 22, Series 5 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
March 27, 1989 - January 2, 1990
GROSVENOR FINANCIAL, INC.
December 29, 1983 - October 31, 1986
PRUDENTIAL EQUITY GROUP, LLC
September 23, 1980 - December 16, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationCurrent Firm
GROSVENOR FINANCIAL, INC.
CRD#: 17999 / SEC#: , 8-36033
Contact information
Documents
Red Flags
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