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Adam Christopher Thein

Northern Trust Securities, Inc.

Denver, CO

Denver, CO

Chicago, IL

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Current Employers
Northern Trust Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2024-11-06
  • CO RA
    APPROVED
    Since 2024-11-06

Branch Locations

Denver, CO • United States

1401 Lawrence Street Suite 1500, Denver, CO 80202 • United States

50 South Lasalle, Chicago, IL 60603 • 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
Ameriprise Financial Services, Inc. Thornton CO 05/2010 07/2020
Robert W Baird & Co Inc Denver CO 07/2020 11/2024
Northern Trust Securities, Inc. Denver CO 11/2024 Present
  • 05/2010 → 07/2020
    Ameriprise Financial Services, Inc.
    Thornton, CO
  • 07/2020 → 11/2024
    Robert W Baird & Co Inc
    Denver, CO
  • 11/2024 → Present
    Northern Trust Securities, Inc.
    Denver, CO
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-10-09
S63 Uniform Securities Agent State Law Examination 2009-10-23
  • S65 Uniform Investment Adviser Law Examination
    2017-10-09
  • S63 Uniform Securities Agent State Law Examination
    2009-10-23

View on SEC IAPD

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