Steven A Down

Current Employers

Mutual Advisors, Llc

9140 W Dodge Road Suite 230, Omaha, NE 68114 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2024-10-04
CA	RA	APPROVED	2017-11-03

CO RA
APPROVED

Since 2024-10-04
CA RA
APPROVED

Since 2017-11-03

Branch Locations

Denver, CO • United States

9140 W Dodge Road Suite 230, Omaha, NE 68114 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
National Planning Corporation	Denver	CO	06/2008	11/2017
Financial Security Management, Inc	Lakewood	CO	02/2016	11/2017
Mutual Securities Inc	Camarillo	CA	11/2017	Present
Mutual Advisors,Llc	Omaha	NE	11/2017	Present
Cpa	Pasadena	CA	03/2008	Present

06/2008 → 11/2017

National Planning Corporation

Denver, CO
02/2016 → 11/2017

Financial Security Management, Inc

Lakewood, CO
11/2017 → Present

Mutual Securities Inc

Camarillo, CA
11/2017 → Present

Mutual Advisors,Llc

Omaha, NE
03/2008 → Present

Cpa

Pasadena, CA

Previous Registrations

2008-06-25 → 2017-11-08

National Planning Corporation

Chatsworth, CA

Denver, CO

Pasadena, CA
2016-02-23 → 2017-11-02

Financial Security Management, Inc

Pasadena, CA

Lakewood, CO

Other Businesses

1. Stone & Gomez, LLC., START DATE: 03/2008, 482 N ROSEMEAD BLVD., STE 203, PASADENA, CA 91107, LLC, TAX PREPARATION AND ACCOUNTING SERVICES, CPA, PREPARE TAX RETURNS, NOT INVESTMENT RELATED, 47 HOURS PER MONTH, 2 HOURS PER DAY DURING TRADING HOURS. 2. STONE & DOWN CAPITAL, INC., CORPORATION, START DATE: 09/01/2014, 482 N ROSEMEAD BLVD, STE 203, PASADENA, CA 91107, PRESIDENT/CFO/SECRETARY, REAL ESTATE LOAN ORIGINATOR, NOT INVESTMENT RELATED, 2 HOURS PER MONTH, 1 HOUR PER DAY DURING TRADING HOURS. 3. 11543 Sunshine Terrace LLC, Start Date: 11/01/2021, Formation date 10/31/2021 but no activity until real estate close date 11/1/2021, 114453 Sunshine Terrace, Studio City, CA 91604, LLC, 11543 Sunshine Terrace purchase, Ownership development, leasing and/or sale, Member - Chairman - Secretary, Manage purchase, ownership, development, leasing and/or sale of single family residence, Investment Related, 2 Hours per month, 0 Hours per day during trading hours. 4. 591 Garfield Street, LLC., Start Date: 5/5/2022, 11543 Sunshine Ter, Studio City, CA 91304, Single-member, LLC, LLC to take title of residential real estate rental property currently titles in my name, Sole Member, Owner of residential real estate rented to tenants, Investment Related, 0.5 Hours per month, 0.0015 Hours per day during trading hours. 5. Endera Corp, Start Date: 02/01/2023, 4300 S Poplar St., Casper, WI 82601, Corporation, Clean Energy Vehicles, Advisory Board Member, Provide advise to Management and the Board of Directors on topics including budgeting, planning, strategic forecasting, and modeling, as well as other topics, Not Investment Related, 5 Hours per month, 0 Hours per day during trading hours.