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Stephen Russell

Northern Trust Investments, Incorporated

Chicago, IL

Cicero, NY

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Current Employers
Northern Trust Investments, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-01-03
  • NY RA
    APPROVED
    Since 2023-01-03

Branch Locations

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

Cicero, NY • 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
Massmutual East Rochester NY 02/2015 06/2017
Mml Investors Services East Rochester NY 03/2015 06/2017
Cadaret, Grant & Co., Inc. Syracuse NY 06/2017 05/2021
Kestra Investment Services, Llc Manlius NY 06/2021 11/2022
Kestra Advisory Services, Llc Manlius NY 01/2022 11/2022
Northern Trust Investments, Inc. Chicago IL 01/2023 Present
Northern Trust Securities, Inc. Chicago IL 08/2023 Present
  • 02/2015 → 06/2017
    Massmutual
    East Rochester, NY
  • 03/2015 → 06/2017
    Mml Investors Services
    East Rochester, NY
  • 06/2017 → 05/2021
    Cadaret, Grant & Co., Inc.
    Syracuse, NY
  • 06/2021 → 11/2022
    Kestra Investment Services, Llc
    Manlius, NY
  • 01/2022 → 11/2022
    Kestra Advisory Services, Llc
    Manlius, NY
  • 01/2023 → Present
    Northern Trust Investments, Inc.
    Chicago, IL
  • 08/2023 → Present
    Northern Trust Securities, Inc.
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-01-07
S63 Uniform Securities Agent State Law Examination 2013-12-23
  • S65 Uniform Investment Adviser Law Examination
    2022-01-07
  • S63 Uniform Securities Agent State Law Examination
    2013-12-23
Other Names
  • Stephen Patrick Russell
  • Stephen Russell

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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