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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

Brent ALLEN Penrose

Advisor at NORTHERN TRUST SECURITIES, INC

Chicago, IL | Palatine, IL

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Search this name across graphsid dfx:ria:3a725a90-dd14-7110-505e-02cd0dea36cb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 13, 2013 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHERN TRUST SECURITIES, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Mar 1, 2008
First registration: Mar 13, 2013
Dual registered: yes, broker-dealer
Other names: Brent Penrose|Brent A Penrose|BRENT ALLEN PENROSE
IAPD individual key: 5464292

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHERN TRUST SECURITIES, INC	Bd affiliated wealth	Feb 3, 2026	n/a	yes	Palatine, IL\|Chicago, IL	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Sep 1, 2023	Apr 8, 2025	no	Chicago, IL\|Palatine, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 31, 2020	Sep 14, 2023	no	BARRINGTON, IL	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	May 10, 2017	Mar 31, 2020	no	CHICAGO, IL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 13, 2013	Apr 18, 2017	no	MINNEAPOLIS, MN\|CHICAGO, IL\|CHARLOTTE, NC\|MINNEAPOLIS, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	NORTHERN TRUST SECURITIES, INC	Apr 8, 2025	Feb 3, 2026	301	Firm change	Wirehouse to ibd
UBS FINANCIAL SERVICES INC.	J.P. MORGAN SECURITIES LLC	Sep 14, 2023	Sep 1, 2023	-13	Firm change	Wirehouse to wirehouse
HSBC SECURITIES (USA) INC.	UBS FINANCIAL SERVICES INC.	Mar 31, 2020	Jul 31, 2020	122	Firm change	Ibd to wirehouse
WELLS FARGO ADVISORS	HSBC SECURITIES (USA) INC.	Apr 18, 2017	May 10, 2017	22	Firm change	Other

Relationships

Registered with (5)

→ NORTHERN TRUST SECURITIES, INCRegistered adviserregistration: current employment
Feb 3, 2026 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Sep 1, 2023 to Apr 8, 2025factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 31, 2020 to Sep 14, 2023factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
May 10, 2017 to Mar 31, 2020factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 13, 2013 to Apr 18, 2017factForm ADV

Dated events

Occurred
Apr 8, 2025
Advisor changed firm
Brent Allen Penrose left J.P. Morgan Securities Llc for Northern Trust Securities, Inc (registered 2026-02-03)
Form ADVobserved 6 days ago
Occurred
Sep 14, 2023
Advisor changed firm
Brent Allen Penrose left Ubs Financial Services Inc. for J.P. Morgan Securities Llc (registered 2023-09-01)
Form ADVobserved 6 days ago