Tampa, FL Office
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Northern trust Securities, Inc
Multi-team
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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
1001 Water Street, Suite 900
Tampa FL 33602
Advisors at this office
3
Advisors at this office
Ashley S
Series 66
Tampa, FL
Northern Trust Securities, Inc.
Ashley Setter is a financial advisor at Northern Trust Securities, Inc. with three years of industry experience. She holds a Series 66 credential and has worked previously at firms including JPMorgan Securities LLC and Midland Trust Company. Outside of her advisory role, she operates an independent pet sitting business. Northern Trust Securities, Inc. is a wholly owned subsidiary of Northern Trust Corporation that provides discretionary portfolio management primarily for high-net-worth individuals, retail investors, and institutional clients. The firm offers model-driven investment programs using a combination of proprietary and third-party products through the Fidelity Managed Account Xchange platform.
Constance C
CFP®, Series 63
Tampa, FL
Northern Trust Securities, Inc.
Constance Capco is a CFP® with 27 years of industry experience, currently serving at Northern Trust Securities, Inc. in Tampa, FL, where she has worked for 25 years. She holds a Series 63 license and has spent her entire recent career with Northern Trust Securities. Northern Trust Securities, Inc. is an SEC-registered investment adviser and FINRA-registered broker-dealer that offers discretionary portfolio management through a wrap fee program. The firm serves high-net-worth individuals, retail investors, and institutional clients with model-driven portfolios that combine proprietary and third-party investment products.
Zachary W
Series 66
Tampa, FL
Northern Trust Securities, Inc.
Zachary Wagner is a financial advisor at Northern Trust Securities, Inc. in Tampa, FL, holding a Series 66 designation with five years of industry experience. His prior roles include positions at Morgan Stanley Private Bank, Morgan Stanley, OJM Group, and several small businesses. Northern Trust Securities, Inc. is a subsidiary of Northern Trust Corporation that provides discretionary portfolio management through a model-driven wrap fee program. The firm serves high-net-worth individuals, retail investors, and institutional clients using Separately Managed Accounts, Fund Strategist Portfolios, and Strategist UMAs with integrated brokerage and custody services.
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