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Current Employers
Northern Trust Investments, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2025-09-02
  • MA RA
    APPROVED
    Since 2025-09-02

Branch Locations

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

Medford, MA • 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
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
  • 01/2024 → 05/2025
    Franklin Distributors, Llc
    Hermosa Beach, CA
  • 05/2015 → 12/2023
    Putnam Investments
    Boston, MA
  • 05/2025 → Present
    Northern Trust
    Boston, MA
  • 05/2025 → Present
    Northern Trust Securities, Inc.
    Boston, MA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-02-16
S63 Uniform Securities Agent State Law Examination 2016-07-28
  • S65 Uniform Investment Adviser Law Examination
    2018-02-16
  • S63 Uniform Securities Agent State Law Examination
    2016-07-28
Designations

View on SEC IAPD

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