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Current Employers
Northern Trust Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-01-08
  • TX RA
    APPROVED
    Since 2018-01-08

Branch Locations

98 San Jacinto Blvd, Austin, TX 78701 • United States

2190 E. Elliot Road Suite 100, Tempe, AZ 85284 • 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
Metlife Houston TX 02/2016 09/2016
Northern Trust Bank Houston TX 10/2016 09/2017
Northern Trust Securities, Inc. Houston TX 10/2017 Present
  • 02/2016 → 09/2016
    Metlife
    Houston, TX
  • 10/2016 → 09/2017
    Northern Trust Bank
    Houston, TX
  • 10/2017 → Present
    Houston, TX
Other Businesses

Rental property Has leasing management company so purely passive income - investment related Personal address Rental property Owner of property Start date August 2025 Property landlord Less than one hour a week, none during securities trading hours

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-01-05
S63 Uniform Securities Agent State Law Examination 2016-08-08
  • S66 Uniform Combined State Law Examination
    2018-01-05
  • S63 Uniform Securities Agent State Law Examination
    2016-08-08
Designations

View on SEC IAPD

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