NORTHERN TRUST SECURITIES, INC

NORTHERN TRUST SECURITIES, INC.

CRD 7927 · SEC 801-80781

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333 S. WABASH AVENUE, 34TH FLOOR, CHICAGO, IL, 60604, United States

Phone

312-630-6000

Fax

312-935-5551

Registration

Registered (APPROVED)

Source

SEC registered

Total AUM

$1.66B

Discretionary AUM

$1.66B

Team

385 total employees; 41 advisory reps

Clients

251-500

Fees

Percentage of AUM; Fixed fees

Org form

Corporation

Filing date

2026-05-19

Disciplinary history

Yes

Services

Financial planningPortfolio management (individuals)Portfolio management (institutions)Selection of other advisers

Client types

Type	Clients	AUM
Individuals	618	$175.1M
High net worth individuals	1406	$1.46B
Charitable organizations	11	$10.0M
Corporations/business entities	14	$15.9M

States served

VT, AL, AK, AZ, AR, CA, CO, DE, DC, GA, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MT, NE, NV, NJ, NM, NY, NC, ND, OH, OK, OR, PA, RI, SC, TN, UT, VA, WV, WI, WY, VI, MO, WA, TX, NH, HI, CT, FL, SD

All web addresses on file

HTTP://WWW.NORTHERNTRUST.COM

Official SEC filing: View on IAPD