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50 S Lasalle Street, Chicago, IL 60603-1008 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2026-08-11 |
| FL | RA | APPROVED | 2026-07-31 |
| ND | RA | APPROVED | 2026-07-27 |
| SC | RA | APPROVED | 2026-07-20 |
| WV | RA | APPROVED | 2026-07-20 |
| AZ | RA | APPROVED | 2026-07-17 |
| NC | RA | APPROVED | 2026-07-17 |
| CO | RA | APPROVED | 2026-07-16 |
| HI | RA | APPROVED | 2026-07-16 |
| MI | RA | APPROVED | 2026-07-16 |
| MT | RA | APPROVED | 2026-07-16 |
| OK | RA | APPROVED | 2026-07-16 |
| AR | RA | APPROVED | 2026-07-15 |
| GA | RA | APPROVED | 2026-07-15 |
| ID | RA | APPROVED | 2026-07-15 |
| IL | RA | APPROVED | 2026-07-15 |
| IN | RA | APPROVED | 2026-07-15 |
| IA | RA | APPROVED | 2026-07-15 |
| KY | RA | APPROVED | 2026-07-15 |
| ME | RA | APPROVED | 2026-07-15 |
| MD | RA | APPROVED | 2026-07-15 |
| MN | RA | APPROVED | 2026-07-15 |
| MS | RA | APPROVED | 2026-07-15 |
| MO | RA | APPROVED | 2026-07-15 |
| NE | RA | APPROVED | 2026-07-15 |
| NV | RA | APPROVED | 2026-07-15 |
| NH | RA | APPROVED | 2026-07-15 |
| NJ | RA | APPROVED | 2026-07-15 |
| NM | RA | APPROVED | 2026-07-15 |
| PA | RA | APPROVED | 2026-07-15 |
| RI | RA | APPROVED | 2026-07-15 |
| UT | RA | APPROVED | 2026-07-15 |
| VT | RA | APPROVED | 2026-07-15 |
| VA | RA | APPROVED | 2026-07-15 |
| WI | RA | APPROVED | 2026-07-15 |
| WY | RA | APPROVED | 2026-07-15 |
| AL | RA | APPROVED | 2026-07-14 |
| AK | RA | APPROVED | 2026-07-14 |
| CA | RA | APPROVED | 2026-07-14 |
| CT | RA | APPROVED | 2026-07-14 |
| DE | RA | APPROVED | 2026-07-14 |
| KS | RA | APPROVED | 2026-07-14 |
| LA | RA | APPROVED | 2026-07-14 |
| NY | RA | APPROVED | 2026-07-14 |
| OH | RA | APPROVED | 2026-07-14 |
| SD | RA | APPROVED | 2026-07-14 |
| TX | RA | APPROVED_RES | 2026-07-14 |
| WA | RA | APPROVED | 2026-07-14 |
Branch Locations
50 S Lasalle Street, Chicago, IL 60603-1008 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Franklin Templeton Distributors Inc. | San Mateo | CA | 04/2008 | 10/2017 |
| Neuberger Berman | New York | NY | 10/2017 | 06/2026 |
| Northern Trust Securities, Inc. | Chicago | IL | 06/2026 | Present |
| Northern Trust Investments, Inc. | Chicago | IL | 06/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-01-22 |
| S63 | Uniform Securities Agent State Law Examination | 2008-04-03 |
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