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John Richard Downey

Trident Partners Ltd.

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About John Richard Downey

John Richard Downey is a financial advisor with Trident Partners Ltd. located in Woodbury, NY. John has been in the financial industry since February 20, 1996. John is a Series 7 and Series 63 licensed advisor. Previously, John was affiliated with B. Riley Wealth Management, National Securities Corporation, Axiom Capital Management, Inc., Rockwell Global Capital LLC, J.P. Turner & Company, L.L.C., Financial Network Investment Corporation, Gunnallen Financial, Inc., First Montauk Securities Corp., and Continental Broker-Dealer Corp.

Firm Information

John Downey is currently registered with Trident Partners Ltd.. Trident Partners Ltd. is a Corporation formed on May 17, 1996, and has been approved to operate in all 50 states and the District of Columbia. The firm has an approved SEC registration. They have a total of 9 disclosures on file, including 5 for regulatory events and 4 for arbitration.

Not reported

Assets Under Management

Not reported

Total Clients

13

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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John Downey’s Registration & Firm History

NY

02/15/2023 - Present

Trident Partners Ltd. (WOODBURY NY)

NY

07/22/2022 - 02/15/2023

B. RILEY WEALTH MANAGEMENT (WESTBURY NY)

NY

01/24/2017 - 07/22/2022

NATIONAL SECURITIES CORPORATION (WESTBURY NY)

NY

07/22/2015 - 01/19/2017

AXIOM CAPITAL MANAGEMENT, INC. (Westbury NY)

NY

06/07/2011 - 07/24/2015

ROCKWELL GLOBAL CAPITAL LLC (MELVILLE NY)

NY

08/15/2008 - 06/08/2011

J.P. TURNER & COMPANY, L.L.C. (SYOSSET NY)

NY

05/04/2006 - 08/15/2008

FINANCIAL NETWORK INVESTMENT CORPORATION (SYOSSET NY)

NY

02/18/2004 - 05/05/2006

GUNNALLEN FINANCIAL, INC (SYOSSET NY)

FL

07/07/2003 - 08/25/2003

GUNNALLEN FINANCIAL, INC (TAMPA FL)

FL

08/19/2002 - 03/12/2003

GUNNALLEN FINANCIAL, INC (TAMPA FL)

NJ

01/10/2002 - 08/20/2002

FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)

NY

05/01/1995 - 01/15/2002

CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)

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Licenses & Designations

BC

Issued 06/20/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/29/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for John Richard Downey. Review regulatory record here.
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