DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

ROBERT RAYMOND BOROWCZAK

Advisor at NORTHERN TRUST SECURITIES, INC

FORT WORTH, TX | DALLAS, TX | Chicago, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:99cc7c41-2cc0-d849-b8f2-5fd18036597d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 9, 2005 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: May 9, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 26, 2015
First registration: May 9, 2005
Dual registered: yes, broker-dealer
Other names: BOB BOROWCZAK|BOBBY BOROWCZAK
IAPD individual key: 4914671

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	Jun 24, 2016	n/a	yes	DALLAS, TX\|FORT WORTH, TX\|DALLAS, TX\|Chicago, IL	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Feb 26, 2009	May 19, 2011	no	DALLAS, TX\|DALLAS, TX	Previous registration
CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jul 30, 2008	Nov 17, 2009	no	DALLAS, TX	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jul 22, 2008	no	DALLAS, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	May 9, 2005	Apr 2, 2007	no	DALLAS, TX\|DALLAS, TX	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
MML INVESTORS SERVICES, LLC	NORTHERN TRUST SECURITIES, INC	May 19, 2011	Jun 24, 2016	1,863	Firm change after gap	Other
CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC	MML INVESTORS SERVICES, LLC	Nov 17, 2009	Feb 26, 2009	-264	Firm change after gap	Other
MORGAN STANLEY & CO. LLC	CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC	Jul 22, 2008	Jul 30, 2008	8	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ NORTHERN TRUST SECURITIES, INCRegistered adviserregistration: current employment
Jun 24, 2016 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Feb 26, 2009 to May 19, 2011factForm ADV
→ CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 30, 2008 to Nov 17, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jul 22, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 9, 2005 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.