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Current Employers
Northern Trust Investments, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2016-02-17
  • FL RA
    APPROVED
    Since 2016-02-17

Branch Locations

11301 Us Hwy 1 Fl 33408, North Palm Beach, FL 33408 • 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 West Palm Beach FL 02/2016 Present
Northern Trust Bank North Palm Beach FL 02/2016 Present
  • 02/2016 → Present
    Northern Trust Securities, Inc
    West Palm Beach, FL
  • 02/2016 → Present
    Northern Trust Bank
    North Palm Beach, FL
Previous Registrations
  • 2005-07-05 → 2016-01-15
    Independent Portfolio Consultants, Inc.
    Boca Raton, FL
    Boca Raton, FL
  • 2004-02-04 → 2005-07-07
    Usallianz Securities, Inc.
    North Palm Beach, FL
Other Businesses

the name of the other business, Various musical ensembles as a bass player as an independent contractor. whether the business is investment-related, no the address of the other business, I use my home address, not an official "business" 8602 Tourmaline Blvd, Boynton Beach, FL 33472 the nature of the other business, Live music performance/entertainment your position, title, or relationship with the other business, Manager and performer the start date of your relationship, various band and gigs over the years. Started around 2010. the approximate number of hours/month you devote to the other business, ranges from 0 to 20 per month the number of hours you devote to the other business during securities trading hours, zero and briefly describe your duties relating to the other business. New business development to get gigs (unpaid), rehearsal time (unpaid), play bass in actual gigs (paid)

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-06-01
  • S63 Uniform Securities Agent State Law Examination
    2016-06-01
Designations

View on SEC IAPD

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