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Detailed Report
SAMUEL CHARLTON DOWDY
SAMUEL C DOWDY
CRD#: 4831588
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 1901 BULL ST
COLUMBIA, SC 29201
Registration History
200420062008201020122014201620182020202220242026IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2009 - Present (15 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2004 - Present (20 years)
Disclosure(s)
View By:
6/14/2011
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 11/17/2020
B
New Jersey 7/16/2020
B
Arizona 6/11/2020
B
New York 4/6/2018
B
Arkansas 6/18/2019
B
North Carolina 11/28/2007
B
California 12/11/2015
B
North Dakota 6/15/2020
B
Colorado 3/4/2019
B
Ohio 12/19/2019
B
Connecticut 9/14/2017
B
Oregon 10/30/2012
B
District of Columbia 6/11/2020
B
Pennsylvania 3/29/2018
B
Florida 4/10/2013
B
South Carolina 11/30/2004
B
Georgia 10/1/2013
IA
South Carolina 10/8/2009
B
Illinois 1/9/2018
B
Tennessee 7/24/2014
B
Kentucky 3/19/2019
B
Texas 3/11/2008
B
Louisiana 1/31/2025
B
Virginia 3/23/2012
B
Maryland 6/15/2020
B
West Virginia 7/29/2020
B
Michigan 2/8/2019
B
Wisconsin 3/28/2013
B
Missouri 6/11/2020
B
Wyoming 2/12/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
1901 BULL ST, COLUMBIA, SC 29201
Registered with this firm since 10/8/2009
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
1901 BULL ST, COLUMBIA, SC 29201
Registered with this firm since 11/30/2004
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.