Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northern Trust Securities, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Sandra Hernandez | 7265613 | 1 | 07/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ali Newberry Carmen | 4169159 | 3 | 03/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ali Newberry Carmen | 4169159 | 3 | 03/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Therese Dianne Owen | 4266266 | 4 | 01/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Therese Dianne Owen | 4266266 | 4 | 08/11/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Therese Dianne Owen | 4266266 | 4 | 07/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Narsai George Toma | 6930429 | 1 | 05/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ranard Keith Woods | 7586748 | 1 | 10/06/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brendan Lyons Connor | 5904236 | 1 | 08/27/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |