DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

VINCENT W. TUNSTALL

Advisor at NORTHERN TRUST SECURITIES, INC

Chicago, IL | 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:9fc24bdc-52e7-d34a-be05-ad95f7f9b624

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 17, 2002 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: Aug 27, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65|S66
First exam: Aug 27, 1999
First registration: Sep 17, 2002
Dual registered: yes, broker-dealer
Other names: VINCENT WILLARD TUNSTALL
IAPD individual key: 3239839

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	Apr 8, 2015	n/a	yes	Chicago, IL\|CHICAGO, IL	Current employment
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Apr 10, 2008	Jan 29, 2009	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2007	Dec 6, 2007	no	CHICAGO, IL	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Sep 17, 2002	May 29, 2007	no	CHICAGO, IL\|CHICAGO, IL	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
BANC OF AMERICA INVESTMENT SERVICES, INC.	NORTHERN TRUST SECURITIES, INC	Jan 29, 2009	Apr 8, 2015	2,260	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Dec 6, 2007	Apr 10, 2008	126	Firm change	Other
CITICORP INVESTMENT SERVICES	CITIGROUP GLOBAL MARKETS INC.	May 29, 2007	May 29, 2007	0	Bulk transfer	Other

Relationships

Registered with (4)

→ NORTHERN TRUST SECURITIES, INCRegistered adviserregistration: current employment
Apr 8, 2015 to presentfactForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 10, 2008 to Jan 29, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 29, 2007 to Dec 6, 2007factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Sep 17, 2002 to May 29, 2007factForm ADV

Dated events

No dated event names this entity yet.