Ali Newberry Carmen

Employer firm

Northern Trust Securities, Inc. CRD 7927

$1.66B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Northern Trust Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2015-02-09

IL RA
APPROVED

Since 2015-02-09

Branch Locations

Hammond, IN • United States

100 2Nd Ave. South, St. Petersburg, FL 33701 • United States

50 South Lasalle, Chicago, IL 60603 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Northern Trust Securities, Inc.	Chicago	IL	01/2015	Present

01/2015 → Present

Northern Trust Securities, Inc.

Chicago, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-02-06
S63	Uniform Securities Agent State Law Examination	2000-10-13

S66 Uniform Combined State Law Examination

2015-02-06
S63 Uniform Securities Agent State Law Examination

2000-10-13

Other Names

Ali N Newberry

View on SEC IAPD