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Employer firm

Northern Trust Investments, Incorporated CRD 105780

$1.25T regulatory AUM 36 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Northern Trust Investments, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2017-12-07
  • IL RA
    APPROVED
    Since 2017-12-07

Branch Locations

45 Ottawa Ave Sw, Grand Rapids, MI 49503 • 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 03/2016 Present
Northern Trust Securities, Inc Chicago IL 12/2017 Present
  • 03/2016 → Present
    Northern Trust Bank
    Chicago, IL
  • 12/2017 → Present
    Northern Trust Securities, Inc
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-07-25
  • S66 Uniform Combined State Law Examination
    2014-07-25
Other Names
  • Elizabeth Ann Vaughan

View on SEC IAPD

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