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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 2023-06-20
  • IL RA
    APPROVED
    Since 2023-06-20

Branch Locations

Chicago, IL • United States

333 South Wabash Avenue 34Th Floor, Chicago, IL 60604 • 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
Fidelity Brokerage Services Llc Salt Lake City UT 08/2004 09/2016
The University Of Chicago - Booth School Of Business Chicago IL 09/2016 06/2017
None Chicago IL 06/2017 10/2018
Northern Trust Securities, Inc. Chicago IL 11/2018 Present
  • 08/2004 → 09/2016
    Fidelity Brokerage Services Llc
    Salt Lake City, UT
  • 09/2016 → 06/2017
    The University Of Chicago - Booth School Of Business
    Chicago, IL
  • 06/2017 → 10/2018
    None
    Chicago, IL
  • 11/2018 → Present
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-07
S63 Uniform Securities Agent State Law Examination 2004-10-15
  • S66 Uniform Combined State Law Examination
    2023-06-07
  • S63 Uniform Securities Agent State Law Examination
    2004-10-15

View on SEC IAPD

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