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Current Employers
Northern Trust Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2015-04-21
  • AZ RA
    APPROVED
    Since 2015-04-21

Branch Locations

Phoenix, AZ • United States

2398 E. Camelback Road, Phoenix, AZ 85016 • United States

2190 E. Elliot Road Suite 100, Tempe, AZ 85284 • 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 Phoenix AZ 02/2001 Present
  • 02/2001 → Present
    Northern Trust Securities
    Phoenix, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-04-02
S63 Uniform Securities Agent State Law Examination 1987-04-22
  • S66 Uniform Combined State Law Examination
    2015-04-02
  • S63 Uniform Securities Agent State Law Examination
    1987-04-22

View on SEC IAPD

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