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Samuel Charlton Dowdy

Northwestern Mutual Investment Services, LLC

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About Samuel Charlton Dowdy

Samuel Charlton Dowdy is a registered investment advisor representative and a licensed broker-dealer with Northwestern Mutual Investment Services, LLC. Samuel has been in the financial services industry since 2004 and is currently registered in 27 states and the District of Columbia. Samuel has earned a number of licenses and designations, including Series 63, Series 65, and Series 7. Samuel's firm, Northwestern Mutual Investment Services, LLC, is headquartered in Milwaukee, Wisconsin and specializes in providing financial advice to individuals, families, and businesses. The firm provides a range of financial services, including investment management, financial planning, insurance, and retirement planning.

Firm Information

Samuel Dowdy is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

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.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Samuel Dowdy’s Registration & Firm History

SC

10/08/2009 - Present

Northwestern Mutual Investment Services, LLC (COLUMBIA SC)

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Licenses & Designations

IA

Issued 10/23/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/29/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/12/2013

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/14/2013

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/10/2006

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/29/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Samuel Charlton Dowdy. Review regulatory record here.
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