Northern trust Securities, Inc logo

Northern trust Securities, Inc

Updated today

Total assets under management

$1,662,427,504

Total clients

2,024

69% high-net worth

Total advisors

94

of 385 employees

Firm size

Enterprise

51-2,000 advisors or $10B+ in AUM

Average clients per advisor

22

Average account size

$821,357

About

Northern Trust Securities, Inc. (NTSI) is an SEC-registered investment adviser and a FINRA-registered broker‑dealer and a wholly owned subsidiary of Northern Trust Corporation that provides discretionary portfolio management through a wrap fee program. It serves high‑net‑worth individuals, other retail investors and a range of institutional clients—offering Separately Managed Accounts (SMAs), Fund Strategist Portfolios (FSPs) and Strategist UMAs delivered via the Fidelity Managed Account Xchange (FMAX) platform with clearing and custody services provided through National Financial Services LLC (NFS).

NTSI’s program is model‑driven: the firm selects and oversees model providers through its governance process, uses FIWA’s FMAX tools to generate allocation and manager recommendations, and implements discretionary, periodically rebalanced portfolios based on client questionnaires and objectives. Portfolios may include Northern Trust proprietary mutual funds, ETFs and SMAs alongside third‑party products, and NTSI reviews accounts at least annually to assess ongoing suitability and performance.

Compared with many enterprise peers, NTSI combines advisory, brokerage and custody‑related activities—its broker‑dealer registration in 53 U.S. jurisdictions, affiliation with a banking holding company and relationships with affiliated advisers (including entities registered with the CFTC) support brokerage/commission activity and commodity pool/trading‑advisor capabilities that are less common among large advisory firms. The firm also discloses cash‑sweep arrangements (including use of proprietary and Fidelity money market funds) and the potential to allocate up to 100% to proprietary products, creating additional fee sources and conflicts of interest that clients should consider.

Client services

Financial planning Portfolio management Selection of other advisers

Expertise

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting

Occupation focus

Founder/Business Owner Executive

Fee options

Percentage

$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%

Other

Account minimum: $20,000 Minimum fee: Ranges from $250 to $1,500 minimum annual fees depending on program

Main office location

Northern trust Securities, Inc

333 S. Wabash Avenue, 34 Th Floor

Chicago IL 60604, United States

Number of offices

30

Most active in

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Advisors at this firm

user avatar

Kenneth G

Series 63, Series 66

Chicago, IL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Kyle L

Series 66

Chicago, IL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

David P

Series 63, Series 65

Chicago, IL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Matthew K

CFA®, Series 66

Fort Worth, TX

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Joseph A

CFP®, Series 66

Lake Zurich, IL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Robert F

CFP®, Series 63

Chicago, IL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Julian V

Series 63, Series 66

Skokie, IL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Paul B

Series 63, Series 65, Series 66

Chicago, IL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Henry R

Series 63, Series 66

Chicago, IL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Ryan L

Series 63, Series 66

Jupiter, FL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Megan S

Series 66

Chicago, IL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Adam T

Series 63, Series 65

Denver, CO

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Ali C

Series 63, Series 66

Chicago, IL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Kimberly U

Series 63, Series 66

Fort Myers, FL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
user avatar

Brian R

Series 63, Series 66

Chicago, IL

Northern Trust Securities, Inc.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
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