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50 S Lasalle Street, Chicago, IL 60603-1008 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2025-09-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Franklin Distributors, Llc | Hermosa Beach | CA | 01/2024 | 05/2025 |
| Putnam Investments | Boston | MA | 05/2015 | 12/2023 |
| Northern Trust | Boston | MA | 05/2025 | Present |
| Northern Trust Securities, Inc. | Boston | MA | 05/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 2016-07-28 |
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