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Paul Richard Braden

Northern Trust Securities, Inc.

Chicago, IL

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Current Employers
Northern Trust Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-07-12
  • IL RA
    APPROVED
    Since 2023-07-12

Branch Locations

50 South Lasalle, Chicago, IL 60603 • 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
Wolverine Trading, Llc. San Francisco CA 04/2001 05/2023
Northern Trust Securities, Inc. Chicago IL 06/2023 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-07-11
S65 Uniform Investment Adviser Law Examination 2000-09-07
S63 Uniform Securities Agent State Law Examination 1999-05-28
  • S66 Uniform Combined State Law Examination
    2023-07-11
  • S65 Uniform Investment Adviser Law Examination
    2000-09-07
  • S63 Uniform Securities Agent State Law Examination
    1999-05-28
Other Names
  • Rick Braden

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
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