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

Apr 12, 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

Current registrations

1

Registered states

1

Designations

Certified Financial Planner

Exams

S63

First exam

Apr 12, 1999

Dual registered

yes, broker-dealer

IAPD individual key

3023278

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e5167289-76b2-e53a-2614-72d8743d903d

First observed

Apr 12, 1999

Last observed

Sep 15, 2026 3 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.