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Andrew William Sherman

Northern Trust Investments, Incorporated

Chicago, IL

Chicago, IL

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Current Employers
Northern Trust Investments, Incorporated

50 S Lasalle Street, Chicago, IL 60603-1008 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-06-10
  • IL RA
    APPROVED
    Since 2022-06-10

Branch Locations

181 West Madison, Chicago, IL 60603 • United States

50 S Lasalle Street, Chicago, IL 60603-1008 • 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 Bank Chicago IL 02/2022 Present
Northern Trust Securities, Inc. Chicago IL 03/2022 Present
Capfinancial Partners, Llc Raleigh NC 01/2016 02/2022
  • 02/2022 → Present
    Northern Trust Bank
    Chicago, IL
  • 03/2022 → Present
    Northern Trust Securities, Inc.
    Chicago, IL
  • 01/2016 → 02/2022
    Capfinancial Partners, Llc
    Raleigh, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-06-09
  • S66 Uniform Combined State Law Examination
    2022-06-09

View on SEC IAPD

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GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
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