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John Haney Smith

Northern Trust Securities, Inc.

Evergreen Park, IL

Chicago, IL

CRD 1364341

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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

AuthorityCategoryStatusDate
IL RA APPROVED 2018-03-09
  • IL RA
    APPROVED
    Since 2018-03-09

Branch Locations

Evergreen Park, IL • United States

333 South Wabash Avenue 34Th Floor, Chicago, IL 60604 • 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
Price Technology Chicago IL 07/2016 05/2017
Northern Trust Securities, Inc. Chicago IL 05/2017 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-03-09
S63 Uniform Securities Agent State Law Examination 1993-10-29
  • S66 Uniform Combined State Law Examination
    2018-03-09
  • S63 Uniform Securities Agent State Law Examination
    1993-10-29

View on SEC IAPD

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