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333 S. Wabash Avenue 34Th Floor, Chicago, IL 60604 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-02-05 |
Branch Locations
1801 Post Oak Blvd., Houston, TX 77057 • United States
98 San Jacinto Blvd, Austin, TX 78701 • United States
50 South Lasalle, Chicago, IL 60603 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northern Trust Securities Inc | Houston | TX | 03/2011 | Present |
The name of the other business: Katie Galliano Interiors/ KGI Group Inc. whether the business is investment-related: Spouse's personal business. the address of the other business, the nature of the other business: 403 Hunters Park Lane, Houston TX 77024; Residential & Commercial Design, Build & Procurement; Residential & commercial renovation and construction. your position, title, or relationship with the other business: Spouse/help with tax preparation. the start date of your relationship: Do not recall. the approximate number of hours/month you devote to the other business: After hours, very limited, approx.. 8 hours a year. the number of hours you devote to the other business during securities trading hours: none. and briefly describe your duties relating to the other business: Tax prep. The name of the other business: Modern Campus Living, LLC. whether the business is investment-related: My wife and I's personal real estate. the address of the other business, the nature of the other business: 403 Hunters Park Lane, Houston TX 77024; Residential & Commercial Real Estate Holdings. your position, title, or relationship with the other business: Wife and I are sole members. the start date of your relationship, Do not recall. the approximate number of hours/month you devote to the other business: After business hours and weekends, 2-4 hours a month, 12-24 hours year. the number of hours you devote to the other business during securities trading hours. Zero. and briefly describe your duties relating to the other business. Tax Prep, organizing, light maintenance.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-01-28 |
| S65 | Uniform Investment Adviser Law Examination | 2002-05-06 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-27 |
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