NORTHERN TRUST SECURITIES, INC
NORTHERN TRUST SECURITIES, INC. Legal Name
Adviser information for NORTHERN TRUST SECURITIES, INC last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 75 |
|---|---|
| Investment Advisory/Research | 70 |
| Registered Broker-Dealer Representatives | 74 |
| Registered State Investment Advisers | 70 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,110 | $1.0B |
| Non-Discretionary | 0 | $0 |
| Total | 2,110 | $1.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 618 | $136.3M |
| HNW Individuals | 1,458 | $861.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 7 | $4.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 22 | $13.1M |
| Other | 5 | $10.5M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2110 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesCommissions |
| Other Business Activities | Broker-dealerCommodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 555.5M |
| Portfolio Manager | 0 |
| Both for Same | 470.8M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| NORTHERN MERIDIAN ACCOUNT | NORTHERN TRUST SECURITIES, INC. |
Principal Office
50 S. LASALLEBB-12
CHICAGO
IL
United States
Monday - Friday, 8:30 A.M.- 5:00 P.M.
Tel: 312-557-2000, Fax: 312-444-4352
Websites
Chief Compliance Officer
DEBRA GRIEWAHN
CHIEF COMPLIANCE OFFICER
50 SOUTH LASALLE STREET
BB-12
CHICAGO
IL
United States
Tel:
312-444-5140
Fax:
312-431-4631
D****@*******M
(Full email address available in API data)
Regulatory Contact
IVY DAILY
COMPLIANCE ANALYST
50 S. LASALLE, B-12
CHICAGO
IL
United States
Tel:
312-557-3965
I***@*******M
(Full email address available in API data)
Industry Affiliates
| 50 SOUTH CAPITAL ADVISORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NORTHERN TRUST | Banking or thrift institutionTrust company |
| NORTHERN TRUST FUND MANAGERS (IRELAND) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| NORTHERN TRUST GLOBAL INVESTMENTS JAPAN, K.K. | Other investment adviser, including financial planners |
| NORTHERN TRUST GLOBAL INVESTMENTS LTD | Other investment adviser, including financial planners |
| NORTHERN TRUST INVESTMENTS, INCORPORATED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorBanking or thrift institutionTrust companySponsor, GP, manager of pooled investment vehicles |
| NORTHERN TRUST SECURITIES AUSTRALIA PTY LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NORTHERN TRUST SECURITIES, LLP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NT GLOBAL ADVISORS, INC. | Other investment adviser, including financial planners |
| THE NORTHERN TRUST COMPANY OF HONG KONG LIMITED | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NORTHERN TRUST CORPORATION | Domestic Entity | – | SHAREHOLDER | 04/1984 | > 75% |
| GRIEWAHN, DEBRA ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2006 | < 5% |
| LOGAN, LYLE | Individual | – | DIRECTOR | 01/2010 | < 5% |
| ELLIS, KATHERINE THERESE | Individual | – | DIRECTOR | 11/2013 | < 5% |
| THORNTON, MITCHELL BLAIR | Individual | – | DIRECTOR | 07/2014 | < 5% |
| BLOWERS, DAVID CHARLES | Individual | – | DIRECTOR | 01/2018 | < 5% |
| TARDY, ROBIN LISA | Individual | – | DIRECTOR | 01/2018 | < 5% |
| CHERRY, JON VINCENT | Individual | – | PRESIDENT | 02/2021 | < 5% |
| BURNS, RYAN DOUGLAS | Individual | – | DIRECTOR | 08/2021 | < 5% |
| CARBERRY, CRAIG RICHARD | Individual | – | SECRETARY | 10/2020 | < 5% |
| MISSIL, KRISTIN ANNE | Individual | – | CHIEF FINANCIAL OFFICER | 06/2023 | < 5% |
| PICKETT, MELANIE ZAIRIS | Individual | – | DIRECTOR | 06/2023 | < 5% |
| GOFORTH, STEPHANIE ECKERT | Individual | – | DIRECTOR | 09/2023 | < 5% |