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

BRIAN MICHAEL FINNEGAN

Advisor at NORTHERN TRUST INVESTMENTS, INCORPORATED

New York, NY | CHICAGO, IL

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Search this name across graphsid dfx:ria:d829aef3-a3fe-f754-c905-ee5b37a66f70

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 29, 2008 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 INVESTMENTS, INCORPORATED
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 28, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 28, 2008
First registration: Aug 29, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 4995402

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 INVESTMENTS, INCORPORATED	Asset manager	Jun 6, 2025	n/a	yes	CHICAGO, IL\|New York, NY	Current employment
BLACKROCK INVESTMENT MANAGEMENT, LLC	Asset manager	Feb 18, 2015	Mar 28, 2025	no	NEW YORK, NY\|PRINCETON, NJ\|NEW YORK, NY	Previous registration
BARCLAYS CAPITAL INC.	Former SEC adviser	Jan 21, 2009	Jan 30, 2015	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
LEHMAN BROTHERS INC.	n/a	Aug 29, 2008	Oct 15, 2008	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	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
BLACKROCK INVESTMENT MANAGEMENT, LLC	NORTHERN TRUST INVESTMENTS, INCORPORATED	Mar 28, 2025	Jun 6, 2025	70	Firm change	Other
BARCLAYS CAPITAL INC.	BLACKROCK INVESTMENT MANAGEMENT, LLC	Jan 30, 2015	Feb 18, 2015	19	Firm change	Other
LEHMAN BROTHERS INC.	BARCLAYS CAPITAL INC.	Oct 15, 2008	Jan 21, 2009	98	Bulk transfer	Other

Relationships

Registered with (4)

→ NORTHERN TRUST INVESTMENTS, INCORPORATEDRegistered adviserregistration: current employment
Jun 6, 2025 to presentfactForm ADV
→ BLACKROCK INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 18, 2015 to Mar 28, 2025factForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Jan 21, 2009 to Jan 30, 2015factForm ADV
→ LEHMAN BROTHERS INC.Registered adviserregistration: previous registration
Aug 29, 2008 to Oct 15, 2008factForm ADV

Dated events

Occurred
Mar 28, 2025
Advisor changed firm
Brian Michael Finnegan left Blackrock Investment Management, Llc for Northern Trust Investments, Incorporated (registered 2025-06-06)
Form ADVobserved 6 days ago