Northern Trust Securities, Inc.
● SEC registered since 2015CRD 7927SEC# 801-80781Chicago, IL
Reg. AUM
$1.66B
Employees
385
Accounts
2,605
Location
Chicago, IL
Northern Trust Securities, Inc. assets under management
Northern Trust Securities, Inc. is a registered investment adviser overseen by the SEC based in Chicago, IL. The firm has been registered since 2015. It reports $1.7 billion in regulatory assets under management and employs 385 people.
Northern Trust Securities, Inc. owners & executives
12 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Amanda Tawney Williams | Chief Compliance Officer | Under 5% | 2025 |
| Anthony Joseph Peccatiello | Chief Financial Officer | Under 5% | 2025 |
| Anthony Joseph Peccatiello | Chief Operations Officer | Under 5% | 2024 |
| Craig Richard Carberry | Chief Legal Officer & Secretary | Under 5% | 2020 |
| Darlene Chappell | Mlro (anti-Money Laundering Officer) | Under 5% | 2025 |
| Dino Anthony Devita Control | Director | Under 5% | 2026 |
| Melanie Zairis Pickett Control | Director | Under 5% | 2023 |
| Mitchell Blair Thornton Control | President | Under 5% | 2026 |
| Mitchell Blair Thornton Control | Director | Under 5% | 2014 |
| Northern Trust Corporation | Shareholder | Over 75% | 1984 |
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Join to unlock · $37/moFrequently asked questions
How much does Northern Trust Securities, Inc. manage?
Northern Trust Securities, Inc. reports $1.7 billion in regulatory assets under management on its Form ADV.
How many employees does Northern Trust Securities, Inc. have?
Northern Trust Securities, Inc. reports 385 employees.
Where is Northern Trust Securities, Inc. located?
Northern Trust Securities, Inc. is based in Chicago, IL and has been SEC-registered since 2015.
Does Northern Trust Securities, Inc. disclose fund performance?
Northern Trust Securities, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 333 S. Wabash Avenue, 34th Floor, Chicago, IL 60604 |
| Phone | 312-630-6000 |
| Fax | 312-935-5551 |
| Office hours | 8:30 a.m.- 5:00 p.m. |
| SEC region | Chicago Regional Office (CHRO) |
| CIK | 310695 |
| Discloses disciplinary history | Yes |
Regulatory AUM
$1.66B▲ 30%
Feb '25Form ADV, monthlyJul '26
How this firm compares
Regulatory AUMTop 25%
Larger than 75% of 16,306 advisers
EmployeesTop 2%
More than 98% of 16,824 advisers
Assets under management
$1.66Bregulatory AUM
Discretionary $1.66B