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Current Employers
Northern Trust Securities, Inc.

333 S. Wabash Avenue 34Th Floor, Chicago, IL 60604 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2025-04-23
  • IL RA
    APPROVED
    Since 2025-04-23

Branch Locations

50 South Lasalle, Chicago, IL 60603 • United States

Downers Grove, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northern Trust Securities Inc. Chicago IL 01/2006 12/2024
Northern Trust Securities Inc. Chicago IL 01/2025 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-22
S65 Uniform Investment Adviser Law Examination 1998-01-29
S63 Uniform Securities Agent State Law Examination 1997-10-02
  • S66 Uniform Combined State Law Examination
    2025-04-22
  • S65 Uniform Investment Adviser Law Examination
    1998-01-29
  • S63 Uniform Securities Agent State Law Examination
    1997-10-02

View on SEC IAPD

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