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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 2026-01-01
  • IL RA
    APPROVED
    Since 2026-01-01

Branch Locations

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

Oak Lawn, IL • 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
Tjm Investments Llc Chicago IL 05/2013 07/2021
L&G - Asset Management America, Inc. Chicago IL 08/2021 11/2025
The Northern Trust Company Chicago IL 11/2025 Present
Northern Trust Securities, Inc. Chicago IL 11/2025 Present
  • 05/2013 → 07/2021
    Tjm Investments Llc
    Chicago, IL
  • 08/2021 → 11/2025
    L&G - Asset Management America, Inc.
    Chicago, IL
  • 11/2025 → Present
    The Northern Trust Company
    Chicago, IL
  • 11/2025 → Present
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-12-30
  • S66 Uniform Combined State Law Examination
    2025-12-30

View on SEC IAPD

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