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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 financial advisor who has been in the industry since 2004. Samuel is registered with Northwestern Mutual Investment Services, LLC, and has been with the firm since 2009. Samuel is licensed to provide investment advice in multiple states and holds several industry licenses and certifications.

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 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

1901 BULL ST

COLUMBIA, SC 29201

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 8/12/2013

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 1/14/2013

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 10/1/2018

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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