Advisor at Northern Trust Securities, Inc.
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Northern Trust Securities, Inc.
Location
Denver, CO 80202
Credentials
Series 63, Series 65
Industry experience
16 years
Adam Thein is a financial advisor at Northern Trust Securities, Inc. with 16 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at Robert W. Baird & Co. Inc. and Ameriprise Financial Services, Inc. Northern Trust Securities, Inc. provides investment advisory and model-based managed account services to high-net-worth individuals and institutional clients, using a model-driven approach that combines proprietary and third-party investment strategies. The firm is part of a large banking holding company and offers integrated custody, brokerage, and advisory services.
Based on Northern Trust Securities, Inc.
Based on Northern Trust Securities, Inc.
$0 - $500,000: 1.25% $500,000 - $1,000,000: 1.00% $1,000,000 - $5,000,000: 0.85% $5,000,000+: 0.75%
Account minimum: $20,000 Minimum fee: Ranges from $250 to $1,500 minimum annual fees depending on program
1401 Lawrence Street, Suite 1500
Denver, CO 80202
Colorado
Northern Trust Securities, Inc.
2024 - Present (2 years)
Robert W Baird & Co inc
2020 - 2024 (4 years)
AMERIPRISE FINANCIAL SERVICES, Inc.
2010 - 2020 (10 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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