Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Downey has been in the financial services industry for over 30 years and currently works as a Registered Representative at Emerson Equity LLC, where Thomas has been employed since February of 2023. Prior to working at Emerson Equity, Thomas was employed by Whitehall-Parker Securities, Inc. and Concorde Investment Services, LLC. Thomas has experience working in various cities throughout California, as well as Maryland, and Colorado. Thomas Downey is a licensed Series 7, 22, 22TO, 24, and 63 Registered Representative and has a SIE license. He has a Series 6 license, which enables Thomas Downey to sell investment company products and variable contracts. Thomas Downey is registered to do business in Arizona, California, and Texas.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Management of private placement life insurance / insurance dedicated funds (single investor private funds)
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
02/09/2023 - Present
Emerson Equity LLC (Irvine CA)
CA
10/25/2013 - 12/31/2022
WHITEHALL-PARKER SECURITIES, INC. (SAN RAFAEL CA)
CA
10/15/2012 - 11/05/2013
CONCORDE INVESTMENT SERVICES, LLC (ESCONDITO CA)
CA
07/12/2010 - 11/08/2010
PACIFIC POINT SECURITIES, LLC (ANAHEIM CA)
CA
09/27/2001 - 07/09/2010
OMNI BROKERAGE, INC. (LAGUNA BEACH CA)
CA
10/26/1999 - 09/28/2001
BROOKSTREET SECURITIES CORPORATION (SAN JUAN CAPISTRANO CA)
CA
08/19/1997 - 08/18/1998
AMERICAN INVESTORS COMPANY (SAN RAMON CA)
MD
02/11/1995 - 09/26/1995
THE ADVISORS GROUP, INC. (BETHESDA MD)
CA
03/11/1992 - 01/30/1995
EQUITY PROGRAMS CORPORATION (SAN DIEGO CA)
NA
05/07/1991 - 07/07/1993
PALLAS FINANCIAL CORPORATION
CO
02/04/1988 - 11/29/1991
ALPINE BROKER SERVICES CORP. (ENGLEWOOD CO)
NA
07/11/1985 - 01/15/1988
TRAWEEK SECURITIES, INC.
BC
Issued 08/28/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/10/1991
Series 24 - General Securities Principal Examination
BC
Issued 02/09/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/1991
Series 7 - General Securities Representative Examination
BC
Issued 01/11/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/09/1985
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
Not sure Thomas Downey is the right advisor for you? Invested Better is here to help.
