DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor moves

Departures from Northern Trust Securities, Inc

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

Advisor	From	To	Type	Left	Registered
Shannon Owen Moore	Northern Trust Securities, Inc no RAUM	Wells Fargo Advisors wirehouse	Other	Dec 31, 2009	Oct 25, 2011 (663 d)
Patricia P Robertson	Northern Trust Securities, Inc no RAUM	Osaic Wealth, Inc. other	Other	Dec 31, 2009	Jun 30, 2010 (181 d)
Laura F Cropo	Northern Trust Securities, Inc no RAUM	Frost Investment Services BD affiliated	Other	Dec 31, 2009	Dec 6, 2018 (3262 d)
Jaime Lauren Roncoroni	Northern Trust Securities, Inc no RAUM	Bny Mellon Advisors, Inc. independent RIA	Other	Dec 31, 2009	Dec 17, 2025 (5830 d)
Jason Dominic Garcia	Northern Trust Securities, Inc no RAUM	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 31, 2009	Feb 9, 2011 (405 d)
Gerald Paul Gallagher	Northern Trust Securities, Inc no RAUM	Barclays Capital Inc. other	Other	Dec 31, 2009	Jan 3, 2011 (368 d)
Gardner Sherrill	Northern Trust Securities, Inc no RAUM	Wells Fargo Advisors wirehouse	Other	Dec 31, 2009	Jul 14, 2010 (195 d)
Khari Edward Smith	Northern Trust Securities, Inc no RAUM	Nationwide Securities, LLC no RAUM	Other	Dec 31, 2009	Jun 14, 2011 (530 d)
Cesar Noe Pena	Northern Trust Securities, Inc no RAUM	Cuso Financial Services, L.P. other	Other	Dec 31, 2009	Jul 8, 2014 (1650 d)
Larry George Roth	Northern Trust Securities, Inc no RAUM	Barclays Capital Inc. other	Other	Dec 31, 2009	Jan 4, 2011 (369 d)
Iris Sanguinetti	Northern Trust Securities, Inc no RAUM	UBS Financial Services Inc. wirehouse	Other	Dec 31, 2009	Jan 14, 2011 (379 d)
Benjamin John Crowder	Northern Trust Securities, Inc no RAUM	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 31, 2009	Apr 8, 2023 (4846 d)
David Thomas Parker	Northern Trust Securities, Inc no RAUM	Morgan Stanley wirehouse	Other	Dec 31, 2009	Mar 4, 2010 (63 d)
Stella May Larsen	Northern Trust Securities, Inc no RAUM	J.P. Morgan Securities LLC wirehouse	Other	Dec 31, 2009	Aug 17, 2023 (4977 d)
Mat Madison Turner	Northern Trust Securities, Inc no RAUM	U.S. Bancorp Investments, Inc. BD affiliated	Other	Dec 31, 2009	Jun 29, 2020 (3833 d)
Preston C. Came	Northern Trust Securities, Inc no RAUM	J.P. Morgan Securities LLC wirehouse	Other	Dec 31, 2009	Jul 31, 2023 (4960 d)
Judith Cay Miller	Northern Trust Securities, Inc no RAUM	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 31, 2009	Feb 16, 2012 (777 d)
Daniel Brian Fitzgerald	Northern Trust Securities, Inc no RAUM	Aequus Wealth Management Resources, LLC other	Other	Dec 31, 2009	Jun 11, 2014 (1623 d)
Jeffrey Gene Sweno	Northern Trust Securities, Inc no RAUM	Wintrust Investments other	Other	Dec 14, 2009	Dec 11, 2009
Robert William Dion	Northern Trust Securities, Inc no RAUM	Morgan Stanley wirehouse	Other	Dec 7, 2009	Dec 4, 2009
Huma Mohiuddin	Northern Trust Securities, Inc no RAUM	J.P. Morgan Securities LLC wirehouse	Other	Nov 9, 2009	Oct 27, 2010 (352 d)
Anthony A Gacs	Northern Trust Securities, Inc no RAUM	Wells Fargo Investments, LLC unclassified	Other	Oct 23, 2009	Nov 12, 2009
Dustin Allen Lewellyn	Northern Trust Securities, Inc no RAUM	Charles Schwab & Co., Inc. national BD	Other	Jun 2, 2009	Apr 5, 2010 (307 d)
Martin Lewis Waldman	Northern Trust Securities, Inc no RAUM	Raymond James & Associates, Inc. national BD	Other	May 4, 2009	May 11, 2009
James Patrick Fitzmaurice	Northern Trust Securities, Inc no RAUM	Wells Fargo Investments, LLC unclassified	Other	Mar 27, 2009	Apr 2, 2009
Philip Paul Tetley	Northern Trust Securities, Inc no RAUM	Robert W. Baird & Co. Incorporated other	Other	Mar 27, 2009	Mar 27, 2009
Paul Henry Barlow	Northern Trust Securities, Inc no RAUM	Global Wealth Consultants, LLC other	Other	Sep 4, 2008	Jan 7, 2009 (125 d)
Joseph George Watz	Northern Trust Securities, Inc no RAUM	Convergence Financial independent RIA	Other	Aug 4, 2008	Nov 26, 2024 (5958 d)
Elizabeth Kohs Smith	Northern Trust Securities, Inc no RAUM	Morgan Stanley wirehouse	Other	Jun 5, 2008	May 26, 2016 (2912 d)
Bruce C. Branstine	Northern Trust Securities, Inc no RAUM	Uvest Financial Services Group, Inc. unclassified	Other	Feb 20, 2008	Apr 29, 2008 (69 d)
William Frank Melka	Northern Trust Securities, Inc no RAUM	Lehman Brothers Inc. unclassified	Other	Jan 22, 2008	Feb 20, 2008
Caroline Sabina Egan	Northern Trust Securities, Inc no RAUM	Destination Wealth Management other	Other	Dec 31, 2007	May 23, 2014 (2335 d)
Kimberly Anne Monnahan	Northern Trust Securities, Inc no RAUM	Private Advisory Group other	Other	Dec 31, 2007	Oct 14, 2011 (1383 d)
James Hunter Dryden	Northern Trust Securities, Inc no RAUM	Deutsche Bank Securities Inc. other	Other	Jun 11, 2007	Jun 12, 2007
Benjamen Charles Fagerlind	Northern Trust Securities, Inc no RAUM	Deutsche Bank Securities Inc. other	Other	Jun 11, 2007	Jun 12, 2007
Gerald Michael Broucek	Northern Trust Securities, Inc no RAUM	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Apr 13, 2007	May 8, 2007
Ary Carol Carol Velasco Jr	Northern Trust Securities, Inc no RAUM	Citigroup Global Markets Inc. other	Other	Mar 15, 2007	Feb 21, 2013 (2170 d)
Bruce Jay Friedman	Northern Trust Securities, Inc no RAUM	Banc Of America Investment Services, Inc. unclassified	Other	Jan 8, 2007	Jan 8, 2007
Garrard Kelly Schaefer	Northern Trust Securities, Inc no RAUM	Peachtree Investment Partners, LLC independent RIA	Other	Jan 3, 2007	May 8, 2007 (125 d)
Barry Craig Stark	Northern Trust Securities, Inc no RAUM	World Equity Group, Inc. other	Other	Oct 16, 2006	Dec 2, 2006 (47 d)
James Scott Taylor	Northern Trust Securities, Inc no RAUM	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 2, 2006	Sep 29, 2006
Elizabeth Jean Wilson	Northern Trust Securities, Inc no RAUM	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 7, 2006	Aug 7, 2006
John Stephen Heck	Northern Trust Securities, Inc no RAUM	Deutsche Bank Securities Inc. other	Other	Aug 7, 2006	Aug 4, 2006
Ignacio Alfredo Herrero	Northern Trust Securities, Inc no RAUM	Uvest Financial Services Group, Inc. unclassified	Other	Aug 3, 2006	Aug 8, 2006
Charles Richard Peterson	Northern Trust Securities, Inc no RAUM	Citigroup Global Markets Inc. other	Other	Jun 6, 2006	Jun 20, 2006
Lynne Marie Knox	Northern Trust Securities, Inc no RAUM	Capital Guardian Trust Company other	Other	Mar 21, 2006	Jun 30, 2009 (1197 d)
Doris Neyra	Northern Trust Securities, Inc no RAUM	Wells Fargo Advisors wirehouse	Other	Feb 6, 2006	Aug 16, 2006 (191 d)
Jeffrey Yoakum	Northern Trust Securities, Inc no RAUM	Silicon Valley Wealth Advisors, LLC other	Other	Feb 3, 2006	Dec 1, 2011 (2127 d)
Olivier Cornet	Northern Trust Securities, Inc no RAUM	Engemann Asset Management unclassified	Other	Oct 19, 2005	Oct 20, 2005
Juan Manuel Ortega	Northern Trust Securities, Inc no RAUM	Truist Advisory Services, Inc. no RAUM	Other	Jul 7, 2005	Aug 18, 2016 (4060 d)
Robert Adam Kokol	Northern Trust Securities, Inc no RAUM	Raymond James & Associates, Inc. national BD	Other	Dec 3, 2004	Jan 10, 2005 (38 d)
Stasia Elaine Cato-Washington	Northern Trust Securities, Inc no RAUM	U.S. Bancorp Advisors, LLC other	Other	Nov 1, 2004	Dec 7, 2004 (36 d)
George Luis Salguero	Northern Trust Securities, Inc no RAUM	Citigroup Global Markets Inc. other	Other	Sep 2, 2004	Sep 23, 2004
Thomas Francis Muldowney	Northern Trust Securities, Inc no RAUM	UBS Financial Services Inc. wirehouse	Other	Aug 13, 2004	Aug 13, 2004
Kevin Gerard Noonan	Northern Trust Securities, Inc no RAUM	Uvest Financial Services Group, Inc. unclassified	Other	Jun 30, 2003	Jul 17, 2003
Leonard L. Whitehorn	Northern Trust Securities, Inc no RAUM	Wells Fargo Investments, LLC unclassified	Other	Jun 27, 2003	Jul 1, 2004 (370 d)
Barbara Stewart Gault	Northern Trust Securities, Inc no RAUM	Barbara S. Gault state registered	Other	Jun 27, 2003	Apr 5, 2017 (5031 d)
Kevin Arthur Krestan	Northern Trust Securities, Inc no RAUM	E*Trade Capital Management, LLC other	Other	Jun 25, 2003	Sep 15, 2003 (82 d)
James David Dingle	Northern Trust Securities, Inc no RAUM	Banc Of America Investment Services, Inc. unclassified	Other	Mar 3, 2003	Feb 21, 2003
Gregg Laurence Denhoffer	Northern Trust Securities, Inc no RAUM	Banc Of America Investment Services, Inc. unclassified	Other	Dec 4, 2002	Dec 4, 2002

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122 moves match.