Navi J. Dowty

ASSOCIATED RETIREMENT PLANNERS

Wausau, WI 54403

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CRD#: 1048676

Professional summary

Navi James Dowty, who also goes by Navi James Dawty, is a registered financial advisor currently at ASSOCIATED RETIREMENT PLANNERS, INC. located in Wausau, Wisconsin.

Navi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Navi has worked at 7 firms and has passed the Series 63, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Navi James Dawty

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

NAVI DOWTY IS PARTIAL NON-EMPLOYEE, NON-CONTROLLING INTEREST IN REDHAWK WEALTH ADVISORS IN MINNEAPOLIS. START DATE: 6-15-2011. HOURS DEVOTED TO BUSINESS DURING TRADING HOURS: 8 HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 0. PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERVIED FROM THE BUSINESS:10. OWNER OF DUPAGE TAX GROUP INC AND FINANCIAL SUCCESS FOR THE SMILING RETIREE BOOK NAVI DOWTY & ASSOCIATES, INSURANCE SALES, PRESIDENT, 1982. SELLS INSURANCE SERVICES, APPROXIMATELY 40 HRS/MO DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Navi James Dowty's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 9, 2008 - Present

ASSOCIATED RETIREMENT PLANNERS, INC.

Office #1: 1212 Grand Ave 18, Wausau, WI 54403Office #2: 290 S. County Farm Rd Suite P, Wheaton, IL 60187

RIA

CRD#: 146922

Wausau, WI

Past

December 12, 2005 - August 18, 2006

J.W. COLE FINANCIAL, INC.

CRD#: 124583

WAUSAU, WI

Past

August 19, 2004 - December 14, 2005

INVESTORS CAPITAL CORP.

CRD#: 30613

WAUSAU, WI

Past

October 5, 1995 - August 27, 2004

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

January 3, 1995 - October 10, 1995

WELLINGTON INVESTMENT SERVICES CORP.

CRD#: 23018

BROOKFIELD, WI

Past

November 4, 1985 - December 31, 1994

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

June 28, 1982 - November 19, 1985

MARQUETTE FINANCIAL GROUP, INC.

CRD#: 345

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(4/6/2011)

IAR

Wisconsin
(6/9/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/25/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/19/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/8/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/22/1985

General Securities Principal Examination

Current Firm

ASSOCIATED RETIREMENT PLANNERS, INC.

11 RIA | ASSOCIATED RETIREMENT PLANNERS, INC.

CRD#: 146922 / SEC#:

Illinois

Registered Investment Advisory firm - (4/6/2011 Approved)

Wisconsin

Registered Investment Advisory firm - (6/9/2008 Approved)

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Contact information

Main Address

1212 Grand Ave 18, Wausau, WI 54403

Mailing Address

Po Box 1065, Wausau, WI 54402

Phone number

(715) 845-4367

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Navi J. Dowty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Navi James Dowty's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSOCIATED RETIREMENT PLANNERS, INC.

J.W. COLE FINANCIAL, INC.

INVESTORS CAPITAL CORP.

SII INVESTMENTS, INC.

WELLINGTON INVESTMENT SERVICES CORP.

ASSOCIATED SECURITIES CORP.

MARQUETTE FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/25/1982

Series 7

Date: 6/19/1982

Series 4

Date: 12/8/1997

Series 24

Date: 11/22/1985

Current Firm

ASSOCIATED RETIREMENT PLANNERS, INC.

Contact information

Documents

Red Flags

Company Information

ASSOCIATED RETIREMENT PLANNERS, INC.

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