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Thomas Docherty

Northern Trust Securities, Inc.

Chicago, IL

Miami, FL

Miami, FL

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Current Employers
Northern Trust Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-03-28
  • FL RA
    APPROVED
    Since 2024-03-28

Branch Locations

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

Miami, FL • United States

600 Brickell Avenue Suite 2400, Miami, FL 33131 • 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 08/2006 Present
Northern Trust Securities Inc Chicago IL 04/2010 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-16
S63 Uniform Securities Agent State Law Examination 2010-12-28
  • S66 Uniform Combined State Law Examination
    2015-03-16
  • S63 Uniform Securities Agent State Law Examination
    2010-12-28

View on SEC IAPD

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