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

Arrivals at 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
David Jerome Pazdan	Morgan Stanley wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	May 8, 2014	Jan 14, 2015 (251 d)
Joseph Edward Moorhead	Advice And Planning Services other	Northern Trust Securities, Inc BD affiliated	Other	Aug 29, 2012	May 18, 2018 (2088 d)
Christopher Dale Brunner	Amg Funds LLC other	Northern Trust Securities, Inc other	Other	Apr 30, 2012	Sep 1, 2017 (1950 d)
Jessica Jeanne Kirby	Raymond James & Associates, Inc. national BD	Northern Trust Securities, Inc BD affiliated	Affiliated broker-dealer or bank to another	Jan 20, 2012	May 28, 2024 (4512 d)
Kimberly Victoria Rian Haupin	Advanced Equities, Inc. other	Northern Trust Securities, Inc no RAUM	Other	Oct 21, 2011	Apr 7, 2015 (1264 d)
Sheryl Marie Nessel Cruz	Msi Financial Services, Inc. other	Northern Trust Securities, Inc no RAUM	Other	Oct 13, 2011	Feb 9, 2015 (1215 d)
Karen Julene Cameron	Janney Montgomery Scott LLC other	Northern Trust Securities, Inc other	Other	Jul 28, 2011	Nov 23, 2016 (1945 d)
David Earl Johnson	Charles Schwab & Co., Inc. national BD	Northern Trust Securities, Inc no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Jun 20, 2011	Mar 6, 2015 (1355 d)
Robert Raymond Borowczak	MML Investors Services, LLC other	Northern Trust Securities, Inc other	Other	May 19, 2011	Jun 24, 2016 (1863 d)
Chris Arthur Galliano	Hilltop Securities Inc. other	Northern Trust Securities, Inc no RAUM	Other	Feb 24, 2011	Feb 5, 2015 (1442 d)
Joshua Clapp	Chase Investment Services Corp. other	Northern Trust Securities, Inc other	Other	Dec 31, 2010	Dec 6, 2016 (2167 d)
Mitchell Blair Thornton	Moors & Cabot, Inc other	Northern Trust Securities, Inc other	Other	Aug 20, 2010	Jul 11, 2016 (2152 d)
John F Ward	J.P. Morgan Securities LLC wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Aug 18, 2010	Apr 2, 2015 (1688 d)
Robert J Sullivan	Morgan Stanley wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jun 24, 2010	Feb 5, 2015 (1687 d)
Laura Lynne Demert	Morgan Stanley wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Oct 8, 2009	Oct 21, 2009
Todd Lee Schossow	Nexgen Capital Investors, LLC unclassified	Northern Trust Securities, Inc no RAUM	Other	Oct 2, 2009	Apr 2, 2015 (2008 d)
Vincent W. Tunstall	Banc Of America Investment Services, Inc. unclassified	Northern Trust Securities, Inc no RAUM	Other	Jan 29, 2009	Apr 8, 2015 (2260 d)
Matthew Corbitt	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Northern Trust Securities, Inc no RAUM	Other	Oct 31, 2008	Feb 9, 2015 (2292 d)
Richard Charles Peterson	Pnc Wealth Management other	Northern Trust Securities, Inc no RAUM	Other	Feb 14, 2008	Mar 12, 2008
Michael James Castillo	Banc Of America Investment Services, Inc. unclassified	Northern Trust Securities, Inc no RAUM	Other	Dec 7, 2007	Dec 17, 2007
Paul Henry Barlow	M&I Financial Advisors, Inc. no RAUM	Northern Trust Securities, Inc no RAUM	Other	Oct 16, 2007	Apr 21, 2008 (188 d)
Wendy Jo Farrissey	Bmo Harris Financial Advisors, Inc other	Northern Trust Securities, Inc no RAUM	Other	Oct 11, 2007	Dec 6, 2007 (56 d)
Stephen James Wiley	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Aug 16, 2007	Feb 5, 2015 (2730 d)
Daniel Michael Johnson	Ameriprise Financial Services, LLC national BD	Northern Trust Securities, Inc BD affiliated	Affiliated broker-dealer or bank to another	Aug 14, 2007	Apr 10, 2024 (6084 d)
Jason Dominic Garcia	Bmo Harris Financial Advisors, Inc other	Northern Trust Securities, Inc no RAUM	Other	Jul 17, 2007	Jul 20, 2007
Matthew J Thompson	Mesirow Financial, Inc. unclassified	Northern Trust Securities, Inc no RAUM	Other	Feb 27, 2007	Feb 26, 2007
Thomas Sean Mccartney	Vision Asset Management Inc unclassified	Northern Trust Securities, Inc no RAUM	Other	Jan 4, 2007	Jan 8, 2007
Kimberly Anne Monnahan	Banc Of America Investment Services, Inc. unclassified	Northern Trust Securities, Inc no RAUM	Other	Nov 30, 2006	Nov 13, 2007 (348 d)
Ronald Ford Powell	Citigroup Global Markets Inc. other	Northern Trust Securities, Inc no RAUM	Other	Oct 16, 2006	Nov 3, 2006
Huma Mohiuddin	Morgan Stanley Dw Inc. unclassified	Northern Trust Securities, Inc no RAUM	Other	Sep 26, 2006	Oct 3, 2006
Joseph George Watz	Banc Of America Investment Services, Inc. unclassified	Northern Trust Securities, Inc no RAUM	Other	Sep 19, 2006	Oct 6, 2006
Edward Andrew Kushma	Brinker Capital Inc other	Northern Trust Securities, Inc no RAUM	Other	Aug 17, 2006	Sep 25, 2006 (39 d)
Bruce C. Branstine	UBS Financial Services Inc. wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jun 22, 2006	Jun 27, 2006
Gerald Paul Gallagher	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Feb 22, 2006	May 16, 2006 (83 d)
Larry George Roth	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Feb 22, 2006	May 11, 2006 (78 d)
Caroline Sabina Egan	Destination Wealth Management other	Northern Trust Securities, Inc no RAUM	Other	Oct 17, 2005	Feb 9, 2006 (115 d)
Ignacio Alfredo Herrero	Morgan Keegan & Company, LLC other	Northern Trust Securities, Inc no RAUM	Other	Jul 7, 2005	Jul 20, 2005
Stephen Lance Yates	UBS Financial Services Inc. wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Aug 23, 2004	Jul 28, 2004
Laura F Cropo	Osaic Fa, Inc. other	Northern Trust Securities, Inc no RAUM	Other	Jun 2, 2004	Jan 4, 2005 (216 d)
Alex James Winslow	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	May 5, 2004	May 21, 2004
Gardner Sherrill	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Mar 16, 2004	Apr 23, 2004 (38 d)
James Scott Taylor	UBS Financial Services Inc. wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jan 14, 2004	Apr 1, 2004 (78 d)
Robert Adam Kokol	Suntrust Investment Services, Inc. other	Northern Trust Securities, Inc no RAUM	Other	Sep 10, 2003	Aug 20, 2003
David Woods Leonard	Morgan Stanley Dw Inc. unclassified	Northern Trust Securities, Inc no RAUM	Other	Feb 14, 2003	Feb 9, 2015 (4378 d)
Doris Neyra	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Northern Trust Securities, Inc no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Nov 13, 2002	Jul 7, 2005 (967 d)
Olivier Cornet	RBC Rochdale, LLC other	Northern Trust Securities, Inc no RAUM	Other	Oct 16, 2002	Jul 15, 2003 (272 d)

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106 moves match.