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.

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

Oct 23, 2009earliest registration or exam on IAPD

Years in industry

16derivedfrom 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

S65|S63

First exam

Oct 23, 2009

First registration

Jan 6, 2014

Dual registered

yes, broker-dealer

IAPD individual key

5368565

• Occurred

  Nov 7, 2024
  Advisor changed firm

  Adam Christopher Thein left Robert W. Baird & Co. Incorporated for Northern Trust Securities, Inc (registered 2024-11-06)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:dd72718d-b855-7dc0-7182-c6cceba769aa

First observed

Jan 6, 2014

Last observed

Sep 15, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.