Unclaimed Profile

James Roth Downing

MORNINGSTAR INVESTMENT SERVICES LLC·CHICAGO, Illinois

SIE, Series 24, Series 27, Series 52TO, Series 53, Series 54, Series 63, Series 66, Series 99TOClean record14 years registeredMORNINGSTAR INVESTMENT SERVICES LLC

22 WEST WASHINGTON STREET, CHICAGO, IL 60602-1605CRD# 5514806Firm CRD# 112525

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Roth Downing · CHICAGO, IL

Registration

CRD #5514806 · MORNINGSTAR INVESTMENT SERVICES LLC · 14 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: MORNINGSTAR INVESTMENT SERVICES LLC

MORNINGSTAR INVESTMENT SERVICES LLC

Oct 2021 – Nov 2023

CHICAGO, IL

BMO HARRIS FINANCIAL ADVISORS, INC

Oct 2014 – Sep 2017

CHICAGO, IL

J.P. MORGAN SECURITIES LLC

Oct 2012 – Oct 2014

CHICAGO, IL

CHASE INVESTMENT SERVICES CORP.

Mar 2012 – Oct 2012

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 24

Series 27

Series 52TO

Series 53

Series 54

Series 63

Series 66

Series 99TO

Registration record

First registered · March 1, 2012

Years registered · 14

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

MORNINGSTAR INVESTMENT SERVICES LLC

CRD 112525 · SEC 801-60401

AUM

$12.0B

Regulatory assets under management

Employees

59,686 client accounts

Services offered by MORNINGSTAR INVESTMENT SERVICES LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

View all advisors at MORNINGSTAR INVESTMENT SERVICES LLC →

Introduction

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Frequently Asked Questions

What services does James Roth Downing offer?

James Roth Downing specializes in Investment Management, Wealth Management.

What are James Roth Downing's credentials?

James Roth Downing is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Roth Downing located?

James Roth Downing is based in CHICAGO, Illinois, last registered with MORNINGSTAR INVESTMENT SERVICES LLC.

How does James Roth Downing charge for services?

James Roth Downing's firm is compensated through percentage of aum, subscription fees, other: aua. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is MORNINGSTAR INVESTMENT SERVICES LLC?

MORNINGSTAR INVESTMENT SERVICES LLC has approximately 69 employees and manages $12.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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