Cesar Noe Pena
Investment adviser representative at Northern Trust Securities, Inc
12 yearsExperience
1 stateRegistered in
CFP® certificationDesignation
$1.7BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
Experience
12 years in the industry.
- Northern Trust Securities, Inc.May 2024 to now
- Fidelity Personal and Workplace AdvisorsJul 2018 to May 2024
- Fidelity Brokerage Services LLCMar 2017 to May 2024
- Bcu Wealth Advisors, LLCJul 2014 to Mar 2017
- Baxter Credit UnionJun 2014 to Mar 2017
- Cuso Financial Services, LPJun 2014 to Mar 2017
Designations
- CFP® certification
Exams passed
- Series 63 · Uniform Securities Agent State Law2001
- Series 65 · Uniform Investment Adviser Law2017
State registrations
Registered as an investment adviser representative in 1 state (IL).
Northern Trust Securities, Inc
Legal name: Northern Trust Securities, Inc.
$1.7BAssets managed
2,053Clients
100Advisers
11 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4335056
- Firm CRD
- 7927