Unclaimed Profile

Norris James Downing

HABERER REGISTERED INVESTMENT ADVISOR INC·CINCINNATI, Ohio

Series 65Clean record26 years registeredHABERER REGISTERED INVESTMENT ADVISOR INC

201 E FIFTH ST, CINCINNATI, OH 45202CRD# 2274403Firm CRD# 110382

Profile Verification

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

Identity

Norris James Downing · CINCINNATI, OH

Registration

CRD #2274403 · HABERER REGISTERED INVESTMENT ADVISOR INC · 26 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: HABERER REGISTERED INVESTMENT ADVISOR INC

ARGI INVESTMENT SERVICES, LLC

Nov 2012 – Mar 2020

NEW YORK, NY

HABERER REGISTERED INVESTMENT ADVISOR INC

Oct 1999 – Nov 2012

CINCINNATI, OH

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · October 6, 1999

Years registered · 26

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

HABERER REGISTERED INVESTMENT ADVISOR INC

CRD 110382 · SEC 801-13081

AUM

$314M

Regulatory assets under management

Employees

311 client accounts

Services offered by HABERER REGISTERED INVESTMENT ADVISOR INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at HABERER REGISTERED INVESTMENT ADVISOR INC →

Introduction

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Frequently Asked Questions

What services does Norris James Downing offer?

Norris James Downing specializes in Financial Planning, Investment Management.

What are Norris James Downing's credentials?

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

Where is Norris James Downing located?

Norris James Downing is based in CINCINNATI, Ohio, last registered with HABERER REGISTERED INVESTMENT ADVISOR INC.

How does Norris James Downing charge for services?

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

How large is HABERER REGISTERED INVESTMENT ADVISOR INC?

HABERER REGISTERED INVESTMENT ADVISOR INC has approximately 11 employees and manages $314M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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