Taylor R. Cowdrey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Taylor Renee Cowdrey was a registered financial professional .
Taylor is a previously registered financial professional and started their career in finance in 2009. Taylor had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2021 - May 1, 2025
NORTHERN TRUST INVESTMENTS, INCORPORATED
May 19, 2021 - May 1, 2025
NORTHERN TRUST SECURITIES, INC.
August 21, 2015 - March 26, 2020
NUVEEN ASSET MANAGEMENT, LLC
August 21, 2015 - March 26, 2020
NUVEEN SECURITIES, LLC
September 14, 2011 - July 27, 2015
INVESCO ADVISERS, INC.
September 27, 2010 - July 27, 2015
INVESCO DISTRIBUTORS, INC.
October 26, 2009 - September 13, 2010
JOHN HANCOCK DISTRIBUTORS LLC
June 1, 2009 - October 30, 2009
MORGAN STANLEY
February 25, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,475 |
| AUM (Assets Under Management) | $ 1,114,770,223,733 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 09/27/2024 | ||
| 08/24/2023 |
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.
