Northern trust Securities, Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$1,632,000,683
Clients
2,024
Advisors
100
across 35 offices
About
Northern Trust Securities, Inc. (NTSI) is an SEC-registered investment adviser and a FINRA-registered broker‑dealer and a wholly owned subsidiary of Northern Trust Corporation that provides discretionary portfolio management through a wrap fee program. It serves high‑net‑worth individuals, other retail investors and a range of institutional clients—offering Separately Managed Accounts (SMAs), Fund Strategist Portfolios (FSPs) and Strategist UMAs delivered via the Fidelity Managed Account Xchange (FMAX) platform with clearing and custody services provided through National Financial Services LLC (NFS).
NTSI’s program is model‑driven: the firm selects and oversees model providers through its governance process, uses FIWA’s FMAX tools to generate allocation and manager recommendations, and implements discretionary, periodically rebalanced portfolios based on client questionnaires and objectives. Portfolios may include Northern Trust proprietary mutual funds, ETFs and SMAs alongside third‑party products, and NTSI reviews accounts at least annually to assess ongoing suitability and performance.
Compared with many enterprise peers, NTSI combines advisory, brokerage and custody‑related activities—its broker‑dealer registration in 53 U.S. jurisdictions, affiliation with a banking holding company and relationships with affiliated advisers (including entities registered with the CFTC) support brokerage/commission activity and commodity pool/trading‑advisor capabilities that are less common among large advisory firms. The firm also discloses cash‑sweep arrangements (including use of proprietary and Fidelity money market funds) and the potential to allocate up to 100% to proprietary products, creating additional fee sources and conflicts of interest that clients should consider.
Client services
Expertise
Occupation focus
Fee options
$0 - $500,000: 1.25% $500,000 - $1,000,000: 1.00% $1,000,000 - $5,000,000: 0.85% $5,000,000+: 0.75%
Account minimum: $20,000 Minimum fee: Ranges from $250 to $1,500 minimum annual fees depending on program
Main office
See office333 South Wabash Avenue, 34th Floor
Chicago IL 60604
Advisors at this office
13
Offices (35)
Chicago, IL South La Salle
50 South La Salle, Chicago, IL 60603
37 advisors
Chicago, IL South Wabash Avenue
333 South Wabash Avenue 34th Floor, Chicago, IL 60604
13 advisors
Tempe, AZ
2190 E. Elliot Road Suite 100, Tempe, AZ 85284
6 advisors
Houston, TX
1801 Post Oak Blvd., Houston, TX 77057
3 advisors
Tampa, FL
1001 Water Street Suite 900, Tampa, FL 33602
3 advisors
Most active in
Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Also doing business as
Jerome Hickey Associates, Inc. · Northern Trust Brokerage, Inc. · Northern Trust Securities, Inc · Northern Trust Securities, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
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