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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 2016-07-11
  • IL RA
    APPROVED
    Since 2016-07-11

Branch Locations

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

Elmhurst, IL • United States

50 South Lasalle, Chicago, IL 60603 • 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 Securities Inc Chicago IL 09/2010 Present
Previous Registrations
  • 2009-08-11 → 2010-08-20
    San Francisco, CA
  • 2006-08-22 → 2009-02-09
    Banc Of America Investment Services, Inc.
    San Francisco, CA
  • 2005-04-28 → 2006-08-21
    Wells Fargo Investments, Llc
    Menlo Park, CA
    Palo Alto, CA
    San Carlos, CA
    Palo Alto, CA
    Los Altos, CA
    Menlo Park, CA
    Mountain View, CA
    Palo Alto, CA
    Burlingame, CA
    Foster City, CA
    Los Altos, CA
    Millbrae, CA
    Redwood City, CA
    Redwood City, CA
    San Mateo, CA
    South San Francisco, CA
    Woodside, CA
    San Mateo, CA
    San Bruno, CA
    Palo Alto, CA
    Belmont, CA
    Burlingame, CA
    Half Moon Bay, CA
  • 1994-08-22 → 2005-04-20
    Morgan Stanley Dw Inc.
    Purchase, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-07-11
S65 Uniform Investment Adviser Law Examination 2001-08-13
S63 Uniform Securities Agent State Law Examination 1994-08-19
  • S66 Uniform Combined State Law Examination
    2016-07-11
  • S65 Uniform Investment Adviser Law Examination
    2001-08-13
  • S63 Uniform Securities Agent State Law Examination
    1994-08-19

View on SEC IAPD

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