SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Northern Trust Securities, Inc
Chicago, IL
Northern Trust Securities, Inc., CRD 7927
Firm filing updated July 17, 2026 ·
- $1.7BAssets
- 2,053Clients
- 41Advisory staff
- 2,605Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals1,406
- Individuals618
- Corporations or other businesses14
- Charities11
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 618 | $175.1 million |
| High net worth individuals | 1,406 | $1.5 billion |
| Charitable organizations | 11 | $10.0 million |
| Corporations or other businesses not listed above | 14 | $15.9 million |
| Other: "PARTNERSHIPS" | 4 | $4.5 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 4 services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$1.7 billion
- Accounts2,605
- DiscretionaryAll accounts
People
- Employees385
- Advisory staff41
- Broker-dealer reps377
- Licensed insurance agents0
- Planning clients251 to 500
Advisors
61 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Northern Trust Securities, Inc. SEC-registered investment advisor. CRD 7927, SEC file 801-80781.
- Registered with the SEC as an investment advisor (status date on record: January 2, 2015).
Is Northern Trust Securities, Inc a fiduciary?
Short answer: Northern Trust Securities, Inc is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 377 staff are broker-dealer representatives, the firm is itself a broker-dealer and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.