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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 2023-12-08
  • IL RA
    APPROVED
    Since 2023-12-08

Branch Locations

Oak Lawn, IL • 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
OrganizationCityStateFromTo
Td Ameritrade Chicago IL 06/2020 01/2022
Cintas Chicago IL 04/2010 04/2020
Robinhood Financial, Llc Chicago IL 01/2022 10/2023
Robinhood Markets, Inc Chicago IL 06/2022 10/2023
Northern Trust Securities, Inc. Chicago IL 10/2023 Present
  • 06/2020 → 01/2022
    Td Ameritrade
    Chicago, IL
  • 04/2010 → 04/2020
    Cintas
    Chicago, IL
  • 01/2022 → 10/2023
    Robinhood Financial, Llc
    Chicago, IL
  • 06/2022 → 10/2023
    Robinhood Markets, Inc
    Chicago, IL
  • 10/2023 → Present
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-01
S63 Uniform Securities Agent State Law Examination 2020-10-15
  • S66 Uniform Combined State Law Examination
    2023-12-01
  • S63 Uniform Securities Agent State Law Examination
    2020-10-15
Other Names
  • Sandra Arroyo

View on SEC IAPD

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