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Cathy Siqi Cao

Northern Trust Investments, Incorporated

Chicago, IL

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Current Employers
Northern Trust Investments, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-01-31
  • IL RA
    APPROVED
    Since 2023-01-31

Branch Locations

50 S Lasalle Street, Chicago, IL 60603-1008 • 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 12/2022 Present
First Derivative Toronto 08/2017 12/2022
Ivey Business School, University Of Western Ontario London 09/2013 04/2017
None Toronto 05/2017 07/2017
  • 12/2022 → Present
    Northern Trust Securities, Inc.
    Chicago, IL
  • 08/2017 → 12/2022
    First Derivative
    Toronto
  • 09/2013 → 04/2017
    Ivey Business School, University Of Western Ontario
    London
  • 05/2017 → 07/2017
    None
    Toronto
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-28
  • S66 Uniform Combined State Law Examination
    2023-01-28
Designations
Other Names
  • Cathy Cao

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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