DB
Dow S. Barton
DELTA INVESTMENT MANAGEMENT
Greenville, SC 29601
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CRD#: 1211944
DB
Professional summary
Dow Spencer Barton, who also goes by Dow Spencer Houston Barton, is a registered financial advisor currently at DELTA INVESTMENT MANAGEMENT, LLC located in Greenville, South Carolina.
Dow is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Dow has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dow Spencer Houston Barton
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.
NorthStar Financial & Retirement Planning, LLC, Investment-Related, 113 Whitsett Street, Greenville, SC 29601, Insurance Sales, Medicare Consultant, Start Date: 07/2020, Hours Dedicated: 40 hours per month (20 hours per month during trading hours) Duties: Advise and enroll in Medicare Plans. Insurance Agent (self-employed), non-investment related, 113 Whitsett Street, Greenville, SC 29601, Insurance Agent, Start Date: 07/2017, Hours Dedicated: 120 hours per month (90 hours per month during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view Dow Spencer Barton'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®
NoneExperience
Current
November 3, 2021 - Present
DELTA INVESTMENT MANAGEMENT, LLC
Office #1: 113 Whitsett Street, Greenville, SC 29601RIA
CRD#: 149596
Greenville, SC
Past
July 5, 2018 - May 15, 2019
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
GREENVILLE, SC
Past
May 19, 2016 - May 22, 2018
SECURE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 141195
Greenville, SC
Past
December 7, 1999 - December 31, 2000
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
August 24, 1998 - November 19, 1999
SUNPOINT SECURITIES, INC.
BD
CRD#: 25442
LONGVIEW, TX
Past
April 15, 1994 - August 25, 1998
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
August 27, 1992 - March 29, 1994
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
November 17, 1983 - March 29, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DI
DELTA INVESTMENT MANAGEMENT, LLC
DELTA INVESTMENT MANAGEMENT, LLC | VANCLEF FINANCIAL GROUP | URA GROUP AZ L.L.C. | RAIL-SPLITTER CAPITAL MANAGEMENT | PK WEALTH MANAGEMENT | OPEN SOURCE CAPITAL MANAGEMENT | NORTHSTAR FINANCIAL & RETIREMENT PLANNING, LLC | INTEGRATED FINANCIAL SOLUTIONS GROUP
CRD#: 149596 / SEC#: 801-114006
RIA
Registered Investment Advisory firm - (9/19/2018 Approved)California
Registered Investment Advisory firm - (11/13/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/19/2018 Terminated)Nevada
Registered Investment Advisory firm - (11/29/2018 Terminated)Texas
Registered Investment Advisory firm - (10/14/2018 Terminated)Washington
Registered Investment Advisory firm - (10/21/2018 Terminated)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
South Carolina(11/3/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DI
DELTA INVESTMENT MANAGEMENT, LLC
DELTA INVESTMENT MANAGEMENT, LLC | VANCLEF FINANCIAL GROUP | URA GROUP AZ L.L.C. | RAIL-SPLITTER CAPITAL MANAGEMENT | PK WEALTH MANAGEMENT | OPEN SOURCE CAPITAL MANAGEMENT | NORTHSTAR FINANCIAL & RETIREMENT PLANNING, LLC | INTEGRATED FINANCIAL SOLUTIONS GROUP
CRD#: 149596 / SEC#: 801-114006
RIA
Registered Investment Advisory firm - (9/19/2018 Approved)California
Registered Investment Advisory firm - (11/13/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/19/2018 Terminated)Nevada
Registered Investment Advisory firm - (11/29/2018 Terminated)Texas
Registered Investment Advisory firm - (10/14/2018 Terminated)Washington
Registered Investment Advisory firm - (10/21/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
708 Montgomery Street, San Francisco, CA 94111
Mailing Address
204 E. 2nd Avenue, #906, San Mateo, CA 94401
Phone number
(415) 249-6337
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,625 |
| AUM (Assets Under Management) | $ 770,787,222 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DELTA INVESTMENT MANAGEMENT, LLC
CRD#: 149596Greenville, SC 29601TRUST BUT VERIFY
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