Ashley Marie Setter

Employer firm

Northern Trust Securities, Inc. CRD 7927

$1.66B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Selection of other advisers

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

Current Employers

Northern Trust Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-01-08

FL RA
APPROVED

Since 2024-01-08

Branch Locations

New Port Richey, FL • United States

1001 Water Street Suite 900, Tampa, FL 33602 • 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

Organization	City	State	From	To
Jpmorgan Chase Bank, Na	Birmingham	MI	07/2022	07/2023
Jpmorgan Securities Llc	Birmingham	MI	07/2022	07/2023
Eddie And Barkus	Holland	MI	03/2021	07/2022
Donn Palms	Grand Rapids	MI	10/2021	01/2022
Post Family Farm	Hunsonville	MI	09/2020	10/2020
Spectrum Health Rehab And Nursing Center	Grand Rapids	MI	06/2020	09/2020
Kindercare	East Lansing	MI	02/2019	10/2021
Park Lake Creamery	Bath	MI	04/2018	12/2018
Unemployment	Bath	MI	07/2012	04/2017
Hawk Hollow Golf Course	Bath	MI	05/2017	09/2017
Unemployment	Bath	MI	10/2017	03/2018
Unemployment	Bath	MI	01/2019	01/2019
Midland Trust Company	Fort Myers	FL	07/2023	12/2023
Northern Trust Securities, Inc.	Naples	FL	01/2024	Present

07/2022 → 07/2023

Jpmorgan Chase Bank, Na

Birmingham, MI
07/2022 → 07/2023

Jpmorgan Securities Llc

Birmingham, MI
03/2021 → 07/2022

Eddie And Barkus

Holland, MI
10/2021 → 01/2022

Donn Palms

Grand Rapids, MI
09/2020 → 10/2020

Post Family Farm

Hunsonville, MI
06/2020 → 09/2020

Spectrum Health Rehab And Nursing Center

Grand Rapids, MI
02/2019 → 10/2021

Kindercare

East Lansing, MI
04/2018 → 12/2018

Park Lake Creamery

Bath, MI
07/2012 → 04/2017

Unemployment

Bath, MI
05/2017 → 09/2017

Hawk Hollow Golf Course

Bath, MI
10/2017 → 03/2018

Unemployment

Bath, MI
01/2019 → 01/2019

Unemployment

Bath, MI
07/2023 → 12/2023

Midland Trust Company

Fort Myers, FL
01/2024 → Present

Northern Trust Securities, Inc.

Naples, FL

Previous Registrations

2022-10-02 → 2023-07-15

J.P. Morgan Securities Llc

Birmingham, MI

Other Businesses

the name of the other business, Rover whether the business is investment-related, No the address of the other business, 7936 Royal Hart Dr New Port Richey FL 34653 (my home address, it's an independent contracting business for pet sitting) the nature of the other business, Pet sitting your position, title, or relationship with the other business, Pet sitter the start date of your relationship, 11/19/2024 the approximate number of hours/month you devote to the other business, 10 hours the number of hours you devote to the other business during securities trading hours, 0 hours and briefly describe your duties relating to the other business. Pet sitting for individuals when needed

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-10-01

S66 Uniform Combined State Law Examination

2022-10-01

View on SEC IAPD