Dow Barton has been an investment adviser representative at Delta Investment Management since November 2021, and is not listed among the firm’s executive officers or direct owners.
Delta Investment Management, LLC is a San Francisco, CA firm with $857M under management, 1,099 clients and 25 advisers across 11 offices, as of its April 2026 filing.
Dow Barton’s longest registration is the current one, 4 years at Delta Investment Management since 2021. Before joining Delta Investment Management in 2021, Dow Barton was registered through Secure Investment Management, LLC.
- – present · 4 yearsGreenville, SC · Adviser representative · Firm CRD 149596
- Secure Investment Management, LLC– · 2 yearsGreenville, SC · Adviser representative · Firm CRD 141195
Investment adviser representative registrations
Dow Barton is registered as an investment adviser representative in South Carolina, since November 2021.
- South CarolinaSince 3 November 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 6 August 2018 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 5 July 2018 |
| Series 65 | Uniform Investment Adviser Law Examination | 10 May 2016 |
| Series 7 | General Securities Representative Examination | 15 April 1989 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Full name
- Dow Spencer Barton
- CRD
- 1211944
- Firm
- Delta Investment Management · CRD 149596
- Office
- 113 Whitsett Street, Greenville, SC 29601
- Registration
- Investment adviser registration
- In the industry since
- December 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Dow Barton work?
Dow Barton is an investment adviser representative registered through Delta Investment Management, LLC since November 2021, and is not listed among the firm’s executive officers or direct owners.
Is Dow Barton a financial advisor?
Yes. Dow Barton has a current investment-adviser registration in South Carolina, through Delta Investment Management since November 2021.
How many years of experience does Dow Barton have?
Dow Barton has 24 years in the financial industry, since December 2001, across 2 adviser firms.
What exams has Dow Barton passed?
Dow Barton has passed 4 licensing exams: the Series 7, Series 65, Series 6 and Series 63. The earliest, the Series 7, was passed in April 1989. FINRA credited Dow Barton with the SIE, which began in October 2018.
Where did Dow Barton work before Delta Investment Management?
Before Delta Investment Management, Dow Barton was registered through Secure Investment Management, LLC, May 2016 to May 2018.
Where is Dow Barton based?
Dow Barton’s registered office is in Greenville, SC.
Is Dow Barton registered with FINRA?
No. Dow Barton has no current broker registration.
How can I verify Dow Barton’s record?
Search CRD 1211944 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Dow Barton’s full registration record.
