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Northern Trust Securities, Inc. CRD 7927
$1.66B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
333 S. Wabash Avenue 34Th Floor, Chicago, IL 60604 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-08-12 |
Branch Locations
Scottsdale , AZ • United States
2190 E. Elliot Road Suite 100, Tempe, AZ 85284 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 02/2015 | 02/2026 |
| Northern Trust Securities, Inc. | Tempe | AZ | 06/2026 | Present |
| None | Scottsdale | AZ | 02/2026 | 06/2026 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-08-07 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-10 |
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