Houston, TX Office
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Northern trust Securities, Inc
Multi-team
Firm-wide stats for Northern trust Securities, Inc
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.
Based on Northern trust Securities, Inc
Expertise
Based on Northern trust Securities, Inc
Location
1801 Post Oak Blvd.
Houston TX 77057
Advisors at this office
3
Advisors at this office
Zach G
Series 63, Series 65
Houston, TX
Northern Trust Securities, Inc.
Zach Granberry is a financial advisor with Northern Trust Securities, Inc., holding Series 63 and Series 65 licenses and bringing 28 years of industry experience. His previous roles include positions at Texas Capital Bank, Sanford C. Bernstein & Co., LLC, and JPMSI. He serves as Executive Vice President at Texas Capital Bank, focusing on business development. Northern Trust Securities, Inc. is a subsidiary of Northern Trust Corporation that offers discretionary portfolio management through model-driven wrap fee programs. It serves high-net-worth individuals, retail investors, and institutional clients with portfolios integrating proprietary and third-party products, supported by brokerage, custody, and advisory services.
Keaton S
Series 66
Houston, TX
Northern Trust Securities, Inc.
Keaton Schultz is a financial advisor at Northern Trust Securities, Inc. with one year of industry experience. He holds a Series 66 designation and has worked previously at Turtle Creek Wealth and Probity Advisors, Inc. before joining Northern Trust Securities. Northern Trust Securities, Inc. is an SEC-registered investment adviser and FINRA-registered broker-dealer serving high-net-worth individuals, retail investors, and institutional clients. The firm offers model-driven discretionary portfolio management through Separately Managed Accounts and other managed portfolios, combining advisory, brokerage, and custody services.
Chris G
Series 63, Series 65, Series 66
Houston, TX
Northern Trust Securities, Inc.
Chris Galliano Sr. is a financial advisor with Northern Trust Securities, Inc. in Houston, TX, holding Series 63, 65, and 66 licenses and bringing 25 years of industry experience. He has been with Northern Trust Securities since 2011. Outside of his advisory role, he assists with tax preparation for a residential and commercial design and renovation business operated by his spouse. Northern Trust Securities, Inc. is an SEC-registered investment adviser and FINRA-registered broker-dealer serving high-net-worth individuals, retail investors, and institutional clients. The firm offers discretionary portfolio management through model-driven, periodically rebalanced strategies that utilize proprietary and third-party investment products across multiple platforms.
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