Northern Trust Securities, Inc.
Industry: Company
DescriptionHeadquarters: Chicago, IL Founded: 1979 Subsidiary: Northern Trust Securities, Inc, Asset Management Arm Parent organization: Northern Trust
Northern Trust Securities, Inc. List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at Northern Trust Securities, Inc.. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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Northern Trust Securities, Inc. Employees
Employee
Years
Job
Industry
Cesar N. Peña Cesar N. Peña's Northern Trust Securities, Inc. Experience March 2008 - May 2014
Job Financial Advisor, CUSO Financial Services, L.P. at BCU Investment Advisors
Industry Financial Services
Experience
BCU Investment Advisors May 2014 - Present
Northern Trust Securities, Inc. March 2008 - May 2014
Northern Trust June 2000 - December 2003
Skills
Financial Planning, Retirement Planning, Wealth Management, Asset Allocation, REIT, Equities, Bonds, Securities, ETFs, Fixed Income, Alternative Investments, Mutual Funds, Variable Annuities, Life Insurance, Fixed Annuities, Indexed Annuities, Series 6, Series 7, Series 63, Series 65, FINRA
Education
DePaul University 2001 — 2011
Bachelor of Arts (BA), Finance, General
BCU Investment Advisors May 2014 - Present
Northern Trust Securities, Inc. March 2008 - May 2014
Northern Trust June 2000 - December 2003
Skills
Financial Planning, Retirement Planning, Wealth Management, Asset Allocation, REIT, Equities, Bonds, Securities, ETFs, Fixed Income, Alternative Investments, Mutual Funds, Variable Annuities, Life Insurance, Fixed Annuities, Indexed Annuities, Series 6, Series 7, Series 63, Series 65, FINRA
Education
DePaul University 2001 — 2011
Bachelor of Arts (BA), Finance, General
Ali Carmen Ali Carmen's Northern Trust Securities, Inc. Experience January 2015 - Present
Job Sales Practice Principal at Northern Trust Securities, Inc.
Industry Financial Services
Experience
Northern Trust Securities, Inc. January 2015 - Present
Bernstein Global Wealth Management April 2000 - January 2015
Hoopis Financial Group August 1996 - April 2000
Skills
Series 24, Series 4, Series 7, Series 66, Series 63, Manage Client..., Alternative Investments, Wealth Management..., Investment Strategies
Education
Southern Illinois University, Carbondale
Harper College
Northern Trust Securities, Inc. January 2015 - Present
Bernstein Global Wealth Management April 2000 - January 2015
Hoopis Financial Group August 1996 - April 2000
Skills
Series 24, Series 4, Series 7, Series 66, Series 63, Manage Client..., Alternative Investments, Wealth Management..., Investment Strategies
Education
Southern Illinois University, Carbondale
Harper College
Eric Davidoff Eric Davidoff's Northern Trust Securities, Inc. Experience April 2012 - Present
Job Financial Advisor at Northern Trust Securties, Inc.
Industry Investment Management
Experience
Northern Trust Securites, Inc. August 2015 - Present
Northern Trust Securities, Inc. April 2012 - Present
Independent Capital Management April 2011 - April 2012
Charles Schwab 2009 - 2010
CapNet Financial Leasing Company May 2008 - August 2008
Skills
Investments, Retirement Planning, Financial Advisory, Investment Advisory, Wealth Management, Series 7, Mutual Funds, Securities, Retirement, Alternative Investments, Wealth Management..., Financial Analysis, Asset Allocation, Asset Management, Equities, Investment Management, Investment Strategies, Bonds, Insurance, ETFs, Portfolio Management, Financial Risk, Equity Trading, Brokerage, Stocks, Bloomberg Terminal, Private Banking, Rule 144
Education
University of Arizona 2005 — 2009
Bachelor of Science, Regional Development
Plano West Senior High
Northern Trust Securites, Inc. August 2015 - Present
Northern Trust Securities, Inc. April 2012 - Present
Independent Capital Management April 2011 - April 2012
Charles Schwab 2009 - 2010
CapNet Financial Leasing Company May 2008 - August 2008
Skills
Investments, Retirement Planning, Financial Advisory, Investment Advisory, Wealth Management, Series 7, Mutual Funds, Securities, Retirement, Alternative Investments, Wealth Management..., Financial Analysis, Asset Allocation, Asset Management, Equities, Investment Management, Investment Strategies, Bonds, Insurance, ETFs, Portfolio Management, Financial Risk, Equity Trading, Brokerage, Stocks, Bloomberg Terminal, Private Banking, Rule 144
Education
University of Arizona 2005 — 2009
Bachelor of Science, Regional Development
Plano West Senior High
Shundrawn Thomas Shundrawn Thomas's Northern Trust Securities, Inc. Experience 2008 - 2010
Job Executive Vice President and Head of Funds and Managed Accounts Business at Northern Trust Corporation
Industry Financial Services
Experience
Northern Trust Asset Management 2014 - Present
Northern Trust Asset Management 2010 - 2014
Northern Trust Securities, Inc. 2008 - 2010
Northern Trust Corporation 2005 - 2008
Northern Trust Corporation 2004 - 2005
Goldman Sachs & Co. 1999 - 2003
Morgan Stanley 1994 - 1997
Skills
Strategic Planning, Financial Management, Sales Management, Investments, Managerial Finance, Risk Management, Strategy, Mergers, Mentoring, Community Outreach, Executive Management, Capital Markets, Asset Management, Management, Finance, Leadership, Strategic Financial..., Business Development, Business Strategy, Asset Allocation, Training, Alternative Investments, Wealth Management, Investment Management, Financial Services, ETFs, Equities, Mergers & Acquisitions, Portfolio Management, Securities, Fixed Income, Analysis, Derivatives, Private Equity, Valuation, Options
Education
The University of Chicago - Booth School of Business 1997 — 1999
MBA, Accounting and Finance
Florida Agricultural and Mechanical University 1991 — 1995
B.S., Accounting
Whitney M. Young Magnet High School 1987 — 1991
Northern Trust Asset Management 2014 - Present
Northern Trust Asset Management 2010 - 2014
Northern Trust Securities, Inc. 2008 - 2010
Northern Trust Corporation 2005 - 2008
Northern Trust Corporation 2004 - 2005
Goldman Sachs & Co. 1999 - 2003
Morgan Stanley 1994 - 1997
Skills
Strategic Planning, Financial Management, Sales Management, Investments, Managerial Finance, Risk Management, Strategy, Mergers, Mentoring, Community Outreach, Executive Management, Capital Markets, Asset Management, Management, Finance, Leadership, Strategic Financial..., Business Development, Business Strategy, Asset Allocation, Training, Alternative Investments, Wealth Management, Investment Management, Financial Services, ETFs, Equities, Mergers & Acquisitions, Portfolio Management, Securities, Fixed Income, Analysis, Derivatives, Private Equity, Valuation, Options
Education
The University of Chicago - Booth School of Business 1997 — 1999
MBA, Accounting and Finance
Florida Agricultural and Mechanical University 1991 — 1995
B.S., Accounting
Whitney M. Young Magnet High School 1987 — 1991
Anne Gulotta Anne Gulotta's Northern Trust Securities, Inc. Experience April 1991 - Present
Job Senior Vice President Trading
Industry Financial Services
Experience
Gift of Hope March 2015 - Present
Northern Trust Securities, Inc April 1991 - Present
Skills
Series 7, Series 63, Fixed Income, Public Speaking, Nonprofits, Securities, Capital Markets, Team Building, MBS, Trading, Public Relations, Investments, Bloomberg, Bonds, Equities
Education
escoffier culinary Academy school of cooking
certificate in cinsry Arts
Northwestern University
Gift of Hope March 2015 - Present
Northern Trust Securities, Inc April 1991 - Present
Skills
Series 7, Series 63, Fixed Income, Public Speaking, Nonprofits, Securities, Capital Markets, Team Building, MBS, Trading, Public Relations, Investments, Bloomberg, Bonds, Equities
Education
escoffier culinary Academy school of cooking
certificate in cinsry Arts
Northwestern University
Betty Schultze CFP® Betty Schultze CFP®'s Northern Trust Securities, Inc. Experience October 1992 - September 2011
Job Senior Financial Advisor, Senior Vice President Investments at Wells Fargo Advisors., LLC.
Industry Financial Services
Experience
Wells Fargo Advisors October 2011 - Present
Northern Trust Securities, Inc. October 1992 - September 2011
Michigan National Corp. October 1985 - April 1992
Skills
Investments, Insurance, Finance, Asset Allocation, Mutual Funds, Wealth, Retirement Planning
Education
Bowling Green State University
Bachelor of Arts
Wells Fargo Advisors October 2011 - Present
Northern Trust Securities, Inc. October 1992 - September 2011
Michigan National Corp. October 1985 - April 1992
Skills
Investments, Insurance, Finance, Asset Allocation, Mutual Funds, Wealth, Retirement Planning
Education
Bowling Green State University
Bachelor of Arts
Brian Schrag CFP® Brian Schrag CFP®'s Northern Trust Securities, Inc. Experience February 1993 - March 2010
Job Vice President Investments at Wells Fargo Advisors, LLC
Industry Financial Services
Experience
Wells Fargo Advisors, LLC March 2010 - Present
Northern Trust Securities Inc. February 1993 - March 2010
Lehman Brothers October 1991 - February 1993
Skills
Investments, Fixed Income, Retirement Planning, 401k Rollovers, Finance, Retirement, Mutual Funds, Asset Allocation, Securities, Long-term Care, Investment Strategies, Alternative Investments, Employee Benefits, Financial Services
Education
University of Michigan 1985 — 1989
BA, English
Reeths Puffer High School 1983 — 1985
Wells Fargo Advisors, LLC March 2010 - Present
Northern Trust Securities Inc. February 1993 - March 2010
Lehman Brothers October 1991 - February 1993
Skills
Investments, Fixed Income, Retirement Planning, 401k Rollovers, Finance, Retirement, Mutual Funds, Asset Allocation, Securities, Long-term Care, Investment Strategies, Alternative Investments, Employee Benefits, Financial Services
Education
University of Michigan 1985 — 1989
BA, English
Reeths Puffer High School 1983 — 1985
Margo Anderson Margo Anderson's Northern Trust Securities, Inc. Experience November 2006 - July 2012
Job Sr. Control Liaison at The Options Clearing Corporation
Industry Financial Services
Experience
The Options Clearing Corporation August 2014 - Present
Cetera Financial Specialists September 2012 - August 2014
NORTHERN TRUST SECURITIES, INC November 2006 - July 2012
GOLDENBERG, HEHMEYER & ASSOCIATES October 2004 - August 2006
Volunteer Opportunities 1994 - 2004
MERRILL LYNCH FUTURES, INC October 1992 - May 1995
HARRIS FUTURES CORPORATION May 1991 - October 1992
LIT AMERICA, INC June 1988 - October 1991
ROBBINS FUTURES, INC June 1986 - June 1988
National Futures Association January 1984 - June 1986
Skills
FINRA Series 7,24,53..., Audit training with the..., Financial Services, Alternative Investments, Mutual Funds, FINRA, Hedge Funds, Investments, Securities, Financial Analysis, Auditing
Education
University of Illinois at Urbana-Champaign 1978 — 1982
Bachelor of Arts (B.A.), Banking, Corporate, Finance, and Securities Law
University of Illinois
Bachelor of Arts, Finance
Hinsdale Central High School
Walker Grade School, Clarendon Hills, IL
The Options Clearing Corporation August 2014 - Present
Cetera Financial Specialists September 2012 - August 2014
NORTHERN TRUST SECURITIES, INC November 2006 - July 2012
GOLDENBERG, HEHMEYER & ASSOCIATES October 2004 - August 2006
Volunteer Opportunities 1994 - 2004
MERRILL LYNCH FUTURES, INC October 1992 - May 1995
HARRIS FUTURES CORPORATION May 1991 - October 1992
LIT AMERICA, INC June 1988 - October 1991
ROBBINS FUTURES, INC June 1986 - June 1988
National Futures Association January 1984 - June 1986
Skills
FINRA Series 7,24,53..., Audit training with the..., Financial Services, Alternative Investments, Mutual Funds, FINRA, Hedge Funds, Investments, Securities, Financial Analysis, Auditing
Education
University of Illinois at Urbana-Champaign 1978 — 1982
Bachelor of Arts (B.A.), Banking, Corporate, Finance, and Securities Law
University of Illinois
Bachelor of Arts, Finance
Hinsdale Central High School
Walker Grade School, Clarendon Hills, IL
Timothy Notaro Timothy Notaro's Northern Trust Securities, Inc. Experience February 1992 - March 2004
Job Senior Vice President Investments at Wintrust Wealth Management
Industry Financial Services
Experience
Wintrust Wealth Management March 2004 - Present
Northern Trust Securities, Inc. February 1992 - March 2004
Dean Witter September 1989 - December 1992
Skills
Wealth Management, Wealth Accumulation..., Financial Services, Investments, Financial Advisory, Finance
Education
St. Norbert College 1979 — 1983
Bachelor's degree, Business Administration and Management, General
Wintrust Wealth Management March 2004 - Present
Northern Trust Securities, Inc. February 1992 - March 2004
Dean Witter September 1989 - December 1992
Skills
Wealth Management, Wealth Accumulation..., Financial Services, Investments, Financial Advisory, Finance
Education
St. Norbert College 1979 — 1983
Bachelor's degree, Business Administration and Management, General
Benjamin Kay Benjamin Kay's Northern Trust Securities, Inc. Experience August 2007 - March 2013
Job Manager, Financial Operations at DIRECTV
Industry Financial Services
Experience
DIRECTV October 2013 - Present
Crowdfunding Platform March 2013 - October 2013
Northern Trust Securities, Inc. August 2007 - March 2013
Ameriprise Financial Services, Inc. October 2006 - July 2007
Skills
Investments, Hedge Funds, Asset Managment, Equities, Portfolio Management, Alternative Investments, Securities, Management, Business Strategy, Business Development, Financial Modeling, Strategic Financial..., Financial Analysis, Financial Services, Financial Reporting, Business Analysis, Start-ups, Finance, Asset Management, Asset Allocation, Wealth Management, Investment Strategies, Mutual Funds, Valuation, Investment Management, Series 7, Wealth Management..., Fixed Income
Education
UCLA Anderson School of Management 2011 — 2014
MBA, Finance, Strategy, Business Development
Tulane University - A.B. Freeman School of Business 2002 — 2006
Bachelor of Science (BS), Finance
DIRECTV October 2013 - Present
Crowdfunding Platform March 2013 - October 2013
Northern Trust Securities, Inc. August 2007 - March 2013
Ameriprise Financial Services, Inc. October 2006 - July 2007
Skills
Investments, Hedge Funds, Asset Managment, Equities, Portfolio Management, Alternative Investments, Securities, Management, Business Strategy, Business Development, Financial Modeling, Strategic Financial..., Financial Analysis, Financial Services, Financial Reporting, Business Analysis, Start-ups, Finance, Asset Management, Asset Allocation, Wealth Management, Investment Strategies, Mutual Funds, Valuation, Investment Management, Series 7, Wealth Management..., Fixed Income
Education
UCLA Anderson School of Management 2011 — 2014
MBA, Finance, Strategy, Business Development
Tulane University - A.B. Freeman School of Business 2002 — 2006
Bachelor of Science (BS), Finance
Maria Niehus, CFP® Maria Niehus, CFP®'s Northern Trust Securities, Inc. Experience February 2008 - December 2009
Job Wealth Strategist Vice President Northern Trust Wealth Management
Industry Financial Services
Experience
Northern Trust Corporation March 2014 - Present
Northern Trust Company December 2009 - March 2014
Northern Trust Securities, Inc. February 2008 - December 2009
Northern Trust Securities, Inc June 2004 - February 2008
Northern Trust Securites Inc. December 2000 - June 2004
Northern Trust Corporation January 2000 - December 2000
Skills
Series 63, Series 7, Asset Allocation, Mutual Funds, Wealth Management, Investment Management, Alternative Investments, Retirement Planning, Asset Managment, Equities
Education
Southern Illinois University, Carbondale 1990 — 1995
Loyola University, Rome, Italy 1993 — 1993
Trinity High School, River Forest, IL 1986 — 1990
St. Giles, Oak Park, IL
Northern Trust Corporation March 2014 - Present
Northern Trust Company December 2009 - March 2014
Northern Trust Securities, Inc. February 2008 - December 2009
Northern Trust Securities, Inc June 2004 - February 2008
Northern Trust Securites Inc. December 2000 - June 2004
Northern Trust Corporation January 2000 - December 2000
Skills
Series 63, Series 7, Asset Allocation, Mutual Funds, Wealth Management, Investment Management, Alternative Investments, Retirement Planning, Asset Managment, Equities
Education
Southern Illinois University, Carbondale 1990 — 1995
Loyola University, Rome, Italy 1993 — 1993
Trinity High School, River Forest, IL 1986 — 1990
St. Giles, Oak Park, IL
Carl Lingenfelter's Northern Trust Securities, Inc. Experience 2010 - Present
Job
Industry Investment Management
Experience
Northern Trust August 2011 - Present
Northern Trust Global Fund Services Cayman, Ltd. 2011 - Present
Northern Trust Securities, Inc 2010 - Present
Northern Trust March 2008 - December 2011
Chicago Transit Authority November 2003 - September 2007
Illinois Office of Management and Budget January 2003 - November 2003
McKinsey & Company September 2000 - December 2002
Kissinger McLarty Associates 1998 - 2000
The White House 1998 - 1998
Congressman Lee H. Hamilton 1994 - 1998
Skills
Strategy, Mergers & Acquisitions, Management, Leadership, Hedge Funds, Strategic Planning, Investments, Private Equity, Business Strategy, Finance, Executive Management, Risk Management, Business Development, Venture Capital, Corporate Finance, Securities, Asset Management, Budgets, Policy
Education
The University of Chicago Booth School of Business 1997 — 2000
MBA
Yale University 1989 — 1993
BA
Hay Edwards
Oprf
Northern Trust August 2011 - Present
Northern Trust Global Fund Services Cayman, Ltd. 2011 - Present
Northern Trust Securities, Inc 2010 - Present
Northern Trust March 2008 - December 2011
Chicago Transit Authority November 2003 - September 2007
Illinois Office of Management and Budget January 2003 - November 2003
McKinsey & Company September 2000 - December 2002
Kissinger McLarty Associates 1998 - 2000
The White House 1998 - 1998
Congressman Lee H. Hamilton 1994 - 1998
Skills
Strategy, Mergers & Acquisitions, Management, Leadership, Hedge Funds, Strategic Planning, Investments, Private Equity, Business Strategy, Finance, Executive Management, Risk Management, Business Development, Venture Capital, Corporate Finance, Securities, Asset Management, Budgets, Policy
Education
The University of Chicago Booth School of Business 1997 — 2000
MBA
Yale University 1989 — 1993
BA
Hay Edwards
Oprf
Terry Ransford's Northern Trust Securities, Inc. Experience July 2000 - Present
Job Senior Vice President at Northern Trust Securities, Inc.
Industry Capital Markets
Experience
Northern Trust Securities, Inc. July 2000 - Present
Bank One 1993 - 2000
Skills
Trading, Prime Brokerage, Asset Management, Fixed Income, Portfolio Management, Series 7, Equities, Securities, Electronic Trading, Brokerage, Investments, Hedge Funds, Mergers, Capital Markets, Alternative Investments, Trading Systems, Bloomberg, Series 63, Options, Derivatives, Mergers & Acquisitions, Financial Markets, Equity Trading, ETFs
Education
Illinois State University 1973 — 1977
Northern Trust Securities, Inc. July 2000 - Present
Bank One 1993 - 2000
Skills
Trading, Prime Brokerage, Asset Management, Fixed Income, Portfolio Management, Series 7, Equities, Securities, Electronic Trading, Brokerage, Investments, Hedge Funds, Mergers, Capital Markets, Alternative Investments, Trading Systems, Bloomberg, Series 63, Options, Derivatives, Mergers & Acquisitions, Financial Markets, Equity Trading, ETFs
Education
Illinois State University 1973 — 1977
Kim Haupin's Northern Trust Securities, Inc. Experience October 2011 - Present
Job Compliance Analyst
Industry Financial Services
Experience
Northern Trust Securities, Inc. October 2011 - Present
Advanced Equities July 2010 - October 2011
Advanced Equities October 2008 - September 2010
Advanced Equities, Inc. January 2007 - October 2008
Advanced Equities August 2004 - January 2007
Urban Gateways June 2003 - July 2004
Education
University of Illinois at Chicago 1998 — 2002
BA, Political Science
Northern Trust Securities, Inc. October 2011 - Present
Advanced Equities July 2010 - October 2011
Advanced Equities October 2008 - September 2010
Advanced Equities, Inc. January 2007 - October 2008
Advanced Equities August 2004 - January 2007
Urban Gateways June 2003 - July 2004
Education
University of Illinois at Chicago 1998 — 2002
BA, Political Science
Tamara Prokop, PMP's Northern Trust Securities, Inc. Experience February 2011 - Present
Job Senior Product and Marketing Manager
Industry Investment Banking
Experience
Northern Trust Securities, Inc. February 2011 - Present
The Northern Trust Company January 2007 - January 2011
ABN AMRO Bank NA 1989 - 2006
Skills
Vendor Management, Business Analysis, SDLC, Software Project..., Process Improvement, Banking, Risk Management, Business Process..., Project Delivery, Program Management, Portfolio Management, Financial Analysis, Relationship Management, Project Management, PMP, Financial Services, Treasury Management, Project Portfolio..., Outsourcing, Business Process..., User Acceptance Testing, Resource Management, Waterfall, Hold Series 7, Series 63
Education
University of Illinois at Urbana-Champaign
Bachelor's Degree, Marketing
Northern Trust Securities, Inc. February 2011 - Present
The Northern Trust Company January 2007 - January 2011
ABN AMRO Bank NA 1989 - 2006
Skills
Vendor Management, Business Analysis, SDLC, Software Project..., Process Improvement, Banking, Risk Management, Business Process..., Project Delivery, Program Management, Portfolio Management, Financial Analysis, Relationship Management, Project Management, PMP, Financial Services, Treasury Management, Project Portfolio..., Outsourcing, Business Process..., User Acceptance Testing, Resource Management, Waterfall, Hold Series 7, Series 63
Education
University of Illinois at Urbana-Champaign
Bachelor's Degree, Marketing
Stephen Wiley's Northern Trust Securities, Inc. Experience December 2014 - Present
Job Vice President, Financial Advisor at Northern Trust Securities, Inc.
Industry Financial Services
Experience
Northern Trust Securities, Inc. December 2014 - Present
Northern Trust Securities, Inc. August 2007 - Present
Merrill Lynch June 2006 - August 2007
Skills
Wealth Management, Mutual Funds, Series 7, Series 63, Investment Advisory, Investments, Alternative Investments, Finance, Securities, Portfolio Management, Asset Allocation, Asset Management
Education
California State University-Chico 2003 — 2006
Northern Trust Securities, Inc. December 2014 - Present
Northern Trust Securities, Inc. August 2007 - Present
Merrill Lynch June 2006 - August 2007
Skills
Wealth Management, Mutual Funds, Series 7, Series 63, Investment Advisory, Investments, Alternative Investments, Finance, Securities, Portfolio Management, Asset Allocation, Asset Management
Education
California State University-Chico 2003 — 2006
Jason Begley's Northern Trust Securities, Inc. Experience 2010 - Present
Job Associate Investment Consultant
Industry Financial Services
Experience
Northern Trust Securities Inc 2010 - Present
Citi Smith Barney July 2005 - March 2008
Smith Barney July 2005 - March 2008
Education
The University of Texas at Austin - The Red McCombs School of Business 1993 — 1995
Master of Business Administration (MBA)
Manchester Business School 1994 — 1994
Master of Business Administration (MBA), International Business
University of California, Santa Barbara 1986 — 1990
Bachelor's degree, English Literature (British and Commonwealth)
Northern Trust Securities Inc 2010 - Present
Citi Smith Barney July 2005 - March 2008
Smith Barney July 2005 - March 2008
Education
The University of Texas at Austin - The Red McCombs School of Business 1993 — 1995
Master of Business Administration (MBA)
Manchester Business School 1994 — 1994
Master of Business Administration (MBA), International Business
University of California, Santa Barbara 1986 — 1990
Bachelor's degree, English Literature (British and Commonwealth)
David Fitchett, CFA, CAIA's Northern Trust Securities, Inc. Experience October 2009 - Present
Job Director, Institutional Sales at Northern Trust Securities, Inc
Industry Financial Services
Experience
Northern Trust Securities, Inc October 2009 - Present
Northern Trust Global Investments January 2007 - October 2009
Northern Trust Global Investments February 2005 - January 2007
Northern Trust Global Investments June 2002 - February 2005
Skills
Alternative Investments, Asset Managment, Institutional..., Securities, ETFs, Asset Management, Equities, Investment Management, Wealth Management, Asset Allocation, Investments, Mutual Funds, Hedge Funds, Fixed Income, Series 63
Education
Michigan State University
Bachelor of Arts (B.A.), Finance, General
Northern Trust Securities, Inc October 2009 - Present
Northern Trust Global Investments January 2007 - October 2009
Northern Trust Global Investments February 2005 - January 2007
Northern Trust Global Investments June 2002 - February 2005
Skills
Alternative Investments, Asset Managment, Institutional..., Securities, ETFs, Asset Management, Equities, Investment Management, Wealth Management, Asset Allocation, Investments, Mutual Funds, Hedge Funds, Fixed Income, Series 63
Education
Michigan State University
Bachelor of Arts (B.A.), Finance, General
Anne Gulotta's Northern Trust Securities, Inc. Experience 2000 - 2010
Job Senior Vice president at Northern Trust
Industry Investment Banking
Experience
Northern Trust April 1991 - Present
northern Trust Securities, Inc 2000 - 2010
Education
Northwestern University
Northern Trust April 1991 - Present
northern Trust Securities, Inc 2000 - 2010
Education
Northwestern University
Bruce Bozman's Northern Trust Securities, Inc. Experience January 2007 - March 2008
Job Account Manager/Supervisor at Brightree LLC
Industry Financial Services
Experience
Brightree LLC August 2013 - Present
Vogel Consulting, LLC May 2008 - June 2009
Northern Trust Securities, Inc January 2007 - March 2008
Knight Capital Mkts. March 1996 - April 2003
Skills
Electronic Trading, Equities, Commodity, Options, Investments, Portfolio Management, Mutual Funds, Asset Management, Securities, Hedge Funds, Financial Markets, Trading Systems, Bloomberg, Trading, Derivatives
Education
Lawrence University 1978 — 1982
BA, History and Econ
Brightree LLC August 2013 - Present
Vogel Consulting, LLC May 2008 - June 2009
Northern Trust Securities, Inc January 2007 - March 2008
Knight Capital Mkts. March 1996 - April 2003
Skills
Electronic Trading, Equities, Commodity, Options, Investments, Portfolio Management, Mutual Funds, Asset Management, Securities, Hedge Funds, Financial Markets, Trading Systems, Bloomberg, Trading, Derivatives
Education
Lawrence University 1978 — 1982
BA, History and Econ
Chad Driedger, CFA's Northern Trust Securities, Inc. Experience February 2012 - Present
Job Vice President, Northern Trust Securities, Inc.
Industry Investment Management
Experience
Northern Trust Securities, Inc. February 2012 - Present
Northern Trust January 2008 - February 2012
M&I Wealth Management April 2004 - January 2008
Skills
Portfolio Management, Asset Allocation, Investment Strategies, Investments, Asset Managment, Series 7, Investment Management, Equities, Wealth Management, Alternative Investments, Mutual Funds, Equity Research, Financial Modeling, Bloomberg, Fixed Income
Education
University of Arizona, Eller College of Management 2004 — 2006
MBA, Finance
University of Arizona 1997 — 1999
BSBA, Finance
Northern Trust Securities, Inc. February 2012 - Present
Northern Trust January 2008 - February 2012
M&I Wealth Management April 2004 - January 2008
Skills
Portfolio Management, Asset Allocation, Investment Strategies, Investments, Asset Managment, Series 7, Investment Management, Equities, Wealth Management, Alternative Investments, Mutual Funds, Equity Research, Financial Modeling, Bloomberg, Fixed Income
Education
University of Arizona, Eller College of Management 2004 — 2006
MBA, Finance
University of Arizona 1997 — 1999
BSBA, Finance
Melissa Mooney's Northern Trust Securities, Inc. Experience January 2006 - September 2009
Job Senior Compliance Officer RIA U.S. at BMO Financial Group
Industry Financial Services
Experience
BMO Financial Group March 2014 - Present
Northern Trust Company of Connecticut September 2009 - March 2014
Northern Trust Securities, Inc. January 2006 - September 2009
Skills
Due Diligence
Education
Chicago-Kent College of Law, Illinois Institute of Technology 1995 — 1999
J.D., Law
State University of New York College at Potsdam 1985 — 1989
B.A., English/Political Science
BMO Financial Group March 2014 - Present
Northern Trust Company of Connecticut September 2009 - March 2014
Northern Trust Securities, Inc. January 2006 - September 2009
Skills
Due Diligence
Education
Chicago-Kent College of Law, Illinois Institute of Technology 1995 — 1999
J.D., Law
State University of New York College at Potsdam 1985 — 1989
B.A., English/Political Science
Judy Montalbano's Northern Trust Securities, Inc. Experience December 1996 - June 2000
Job Currently seeking employment
Industry Financial Services
Experience
Robert Half Management Resources January 2011 - February 2011
New England Financial September 2009 - April 2010
LaSalle Financial Services (Bank of America) June 2006 - November 2008
Citibank January 2005 - June 2006
CITICORP INVESTMENT SERVICES, INC June 2000 - December 2004
NORTHERN TRUST SECURITIES, INC December 1996 - June 2000
NORTHERN TRUST SECURITIES, INC July 1990 - November 1996
Skills
Series 7, Compliance, Insurance, Banking, Investment Advisory, FINRA, AML, Auditing, Securities, Mutual Funds, Wealth Management, Investments, Series 63, Trading, Risk Management, Equities, Licensing, Investment Banking, Fixed Income, Series 24, Customer Relations, Options, Retirement Planning, Customer Service, Operations Management, Due Diligence, Process Improvement, Supervisory Skills, Funding, Problem Solving, Administration, Portfolio Management, Financial Analysis
Education
Northeastern Illinois University 1977 — 1985
BA, Psychology
Notre Dame High School for Girls 1973 — 1977
General, General
Robert Half Management Resources January 2011 - February 2011
New England Financial September 2009 - April 2010
LaSalle Financial Services (Bank of America) June 2006 - November 2008
Citibank January 2005 - June 2006
CITICORP INVESTMENT SERVICES, INC June 2000 - December 2004
NORTHERN TRUST SECURITIES, INC December 1996 - June 2000
NORTHERN TRUST SECURITIES, INC July 1990 - November 1996
Skills
Series 7, Compliance, Insurance, Banking, Investment Advisory, FINRA, AML, Auditing, Securities, Mutual Funds, Wealth Management, Investments, Series 63, Trading, Risk Management, Equities, Licensing, Investment Banking, Fixed Income, Series 24, Customer Relations, Options, Retirement Planning, Customer Service, Operations Management, Due Diligence, Process Improvement, Supervisory Skills, Funding, Problem Solving, Administration, Portfolio Management, Financial Analysis
Education
Northeastern Illinois University 1977 — 1985
BA, Psychology
Notre Dame High School for Girls 1973 — 1977
General, General
Anthony Rodriguez, JD, CFP®'s Northern Trust Securities, Inc. Experience July 2011 - June 2013
Job Second Vice President, Financial Consultant at Northern Trust
Industry Financial Services
Experience
Northern Trust June 2013 - Present
Northern Trust Securities, Inc. July 2011 - June 2013
Northern Trust Securities, Inc. May 2009 - July 2011
Northern Trust Securities, Inc. January 2008 - May 2009
Ameriprise Financial Services, Inc. June 2007 - December 2007
Anthony Rodriguez Attorney At Law September 2005 - June 2007
Skills
Estate Planning, Financial Services, Retirement Planning, Securities, Wealth Management, Personal Financial..., Investment Strategies, Insurance, Due Diligence, Financial Analysis, Microsoft Office, Series 7, Series 66, Uniform Combined State...
Education
University of Wisconsin Law School 2002 — 2005
J.D., Law
DePaul University 2000 — 2002
B.S., Finance
College of Financial Planning 2012 — 2012
CFP certificate
University of Phoenix 2007 — 2009
MBA, Business
Northern Trust June 2013 - Present
Northern Trust Securities, Inc. July 2011 - June 2013
Northern Trust Securities, Inc. May 2009 - July 2011
Northern Trust Securities, Inc. January 2008 - May 2009
Ameriprise Financial Services, Inc. June 2007 - December 2007
Anthony Rodriguez Attorney At Law September 2005 - June 2007
Skills
Estate Planning, Financial Services, Retirement Planning, Securities, Wealth Management, Personal Financial..., Investment Strategies, Insurance, Due Diligence, Financial Analysis, Microsoft Office, Series 7, Series 66, Uniform Combined State...
Education
University of Wisconsin Law School 2002 — 2005
J.D., Law
DePaul University 2000 — 2002
B.S., Finance
College of Financial Planning 2012 — 2012
CFP certificate
University of Phoenix 2007 — 2009
MBA, Business
Wesley Ringo's Northern Trust Securities, Inc. Experience March 2001 - November 2006
Job Chief Compliance Officer at Hilliard Lyons
Industry Investment Banking
Experience
Hilliard Lyons November 2006 - Present
Northern Trust Securities, Inc. March 2001 - November 2006
Piper Jaffray September 1996 - March 2001
Skills
Securities, Securities Regulation, Investment Advisory, Series 7, Investment Advisers Act, Investment Company Act, FINRA, Mutual Funds, AML, Equities, SEC, Asset Managment, Series 63
Education
Quinlan School of Business, Loyola University Chicago
MBA, Economics/Accounting
Saint Louis University
AB, Arts and Sciences
University of Wisconsin-Madison
JD, Law
Hilliard Lyons November 2006 - Present
Northern Trust Securities, Inc. March 2001 - November 2006
Piper Jaffray September 1996 - March 2001
Skills
Securities, Securities Regulation, Investment Advisory, Series 7, Investment Advisers Act, Investment Company Act, FINRA, Mutual Funds, AML, Equities, SEC, Asset Managment, Series 63
Education
Quinlan School of Business, Loyola University Chicago
MBA, Economics/Accounting
Saint Louis University
AB, Arts and Sciences
University of Wisconsin-Madison
JD, Law
Scott Taccetta's Northern Trust Securities, Inc. Experience January 2004 - January 2006
Job Experienced Investor/Regulatory Reporting Senior Accountant
Industry Financial Services
Experience
WEDBUSH SECURITIES INC. May 2015 - Present
BANK of AMERICA CORPORATION March 2012 - November 2012
SANTA BARBARA BANK and TRUST March 2010 - March 2012
Northern Trust Securities/Investments November 2004 - January 2006
Northern Trust Investments / Securities, Inc January 2004 - January 2006
Northern Trust Securities, Inc. January 2004 - January 2006
The Northern Trust Company October 1997 - November 2004
The Northern Trust Company January 1997 - January 2004
The Northern Trust Company January 1984 - January 2004
The Northern Trust Company January 1994 - January 1997
Skills
Consolidation, Budgets, General Ledger, Auditing, Finance, Risk Management, Financial Analysis, Internal Audit, Accounting, Corporate Finance, Financial Statements, Sarbanes-Oxley Act, Account Reconciliation, Process Improvement, Financial Services
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1987 — 1989
MBA, Finance
Northern Illinois University 1982 — 1984
B.S., Finance
DePaul University
Masters, Business Administration, Finance
Northern Illinois University
Bachelor of Science, Finance
WEDBUSH SECURITIES INC. May 2015 - Present
BANK of AMERICA CORPORATION March 2012 - November 2012
SANTA BARBARA BANK and TRUST March 2010 - March 2012
Northern Trust Securities/Investments November 2004 - January 2006
Northern Trust Investments / Securities, Inc January 2004 - January 2006
Northern Trust Securities, Inc. January 2004 - January 2006
The Northern Trust Company October 1997 - November 2004
The Northern Trust Company January 1997 - January 2004
The Northern Trust Company January 1984 - January 2004
The Northern Trust Company January 1994 - January 1997
Skills
Consolidation, Budgets, General Ledger, Auditing, Finance, Risk Management, Financial Analysis, Internal Audit, Accounting, Corporate Finance, Financial Statements, Sarbanes-Oxley Act, Account Reconciliation, Process Improvement, Financial Services
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1987 — 1989
MBA, Finance
Northern Illinois University 1982 — 1984
B.S., Finance
DePaul University
Masters, Business Administration, Finance
Northern Illinois University
Bachelor of Science, Finance
Stephen Wroblewski's Northern Trust Securities, Inc. Experience July 2011 - October 2014
Job Registered Representative/Assistant Investment Consultant at Northern Trust Securities Inc
Industry Banking
Experience
Northern Trust Securities Inc July 2011 - October 2014
Northern Trust Bank June 2008 - October 2014
The Museum of Science April 2007 - May 2008
SunTrust Bank July 2005 - December 2006
Atlanta Area Council January 2000 - January 2004
Skills
Adult CPR, Program Management, Management, Customer Service, Banking, Security, Leadership, Process Improvement, Team Building, Team Leadership, Budgets, Strategic Planning, Microsoft Office, Public Speaking, Training, Microsoft Word, Microsoft Excel
Education
Florida Gulf Coast University 2012 — 2014
Master of Business Administration (MBA), Finance, General, 3.85
University of South Florida 2002 — 2008
B.A., Business Management
Booker High School 1998 — 2002
Diploma, Law, 3.7
Northern Trust Securities Inc July 2011 - October 2014
Northern Trust Bank June 2008 - October 2014
The Museum of Science April 2007 - May 2008
SunTrust Bank July 2005 - December 2006
Atlanta Area Council January 2000 - January 2004
Skills
Adult CPR, Program Management, Management, Customer Service, Banking, Security, Leadership, Process Improvement, Team Building, Team Leadership, Budgets, Strategic Planning, Microsoft Office, Public Speaking, Training, Microsoft Word, Microsoft Excel
Education
Florida Gulf Coast University 2012 — 2014
Master of Business Administration (MBA), Finance, General, 3.85
University of South Florida 2002 — 2008
B.A., Business Management
Booker High School 1998 — 2002
Diploma, Law, 3.7
Robert Strobel MBA CFP (r)'s Northern Trust Securities, Inc. Experience 2002 - 2006
Job Customer RepFunds and Banking at Interactive Brokers
Industry Financial Services
Experience
Interactive Brokers 2010 - Present
Terra Nova Trading LLC 2006 - 2009
Northern Trust Securities, Inc. 2002 - 2006
RKS Financial Services 2001 - 2002
Web Street Securities, Inc 2000 - 2001
William Blair & Company, LLC 1989 - 2000
Rose and Company Investment Brokers, Inc 1985 - 1989
Lind-Waldock & Company January 1984 - January 1985
Education
Benedictine University
M.B.A, Finance and General Management
DePaul University
B.S, Business Management
Interactive Brokers 2010 - Present
Terra Nova Trading LLC 2006 - 2009
Northern Trust Securities, Inc. 2002 - 2006
RKS Financial Services 2001 - 2002
Web Street Securities, Inc 2000 - 2001
William Blair & Company, LLC 1989 - 2000
Rose and Company Investment Brokers, Inc 1985 - 1989
Lind-Waldock & Company January 1984 - January 1985
Education
Benedictine University
M.B.A, Finance and General Management
DePaul University
B.S, Business Management
William Pugh, CFP®'s Northern Trust Securities, Inc. Experience March 2011 - May 2014
Job Wealth Manager at Apriem Advisors
Industry Financial Services
Experience
Apriem Advisors June 2014 - Present
Northern Trust Securities Inc. March 2011 - May 2014
Charles Schwab June 2004 - March 2011
Skills
Wealth Management, Portfolio Management, Series 7, Asset Allocation, Investments, Mutual Funds, Asset Managment, Retirement Planning, Series 65, Fixed Income, Alternative Investments, Investment Management, Securities, Series 63, Equities, Investment Strategies, Investment Advisory, Strategic Financial..., Financial Modeling, Uniform Combined State..., ETFs, High Net Worth..., Wealth Management..., 401k, Financial Advisory, Bonds, FINRA, Retirement
Education
Concordia University-Irvine 2000 — 2004
Bachelor of Science (BS), Marketing/Marketing Management, General
Apriem Advisors June 2014 - Present
Northern Trust Securities Inc. March 2011 - May 2014
Charles Schwab June 2004 - March 2011
Skills
Wealth Management, Portfolio Management, Series 7, Asset Allocation, Investments, Mutual Funds, Asset Managment, Retirement Planning, Series 65, Fixed Income, Alternative Investments, Investment Management, Securities, Series 63, Equities, Investment Strategies, Investment Advisory, Strategic Financial..., Financial Modeling, Uniform Combined State..., ETFs, High Net Worth..., Wealth Management..., 401k, Financial Advisory, Bonds, FINRA, Retirement
Education
Concordia University-Irvine 2000 — 2004
Bachelor of Science (BS), Marketing/Marketing Management, General
Bryan Bethel, CFA's Northern Trust Securities, Inc. Experience August 2010 - August 2014
Job Financial Advisor at Northern Trust Securities, Inc.
Industry Financial Services
Experience
Northern Trust Wealth Management September 2014 - Present
Northern Trust Securities, Inc August 2010 - August 2014
Merrill Lynch 2009 - 2010
Skills
Series 7, Mutual Funds, Investments, Wealth Management, Securities, Fixed Income, Alternative Investments, Portfolio Management, Asset Allocation, Asset Management, Derivatives, Equities, Financial Modeling, Capital Markets, Financial Analysis, Bloomberg, Hedge Funds
Education
The University of Chicago - Booth School of Business 2010 — 2013
MBA, Analytical Finance/Economics
University of Wisconsin-Madison 2001 — 2006
Undergraduate, Economics, Biology
Northern Trust Wealth Management September 2014 - Present
Northern Trust Securities, Inc August 2010 - August 2014
Merrill Lynch 2009 - 2010
Skills
Series 7, Mutual Funds, Investments, Wealth Management, Securities, Fixed Income, Alternative Investments, Portfolio Management, Asset Allocation, Asset Management, Derivatives, Equities, Financial Modeling, Capital Markets, Financial Analysis, Bloomberg, Hedge Funds
Education
The University of Chicago - Booth School of Business 2010 — 2013
MBA, Analytical Finance/Economics
University of Wisconsin-Madison 2001 — 2006
Undergraduate, Economics, Biology
Debra Griewahn's Northern Trust Securities, Inc. Experience August 2004 - Present
Job SVP & Chief Compliance Officer at Northern Trust Securities, Inc.
Industry
Experience
Northern Trust Securities, Inc. August 2004 - Present
Melvin Securities December 1999 - July 2004
Salomon Brothers August 1993 - November 1998
Skills
CRCP, Series 7, 24, 63, 27,...
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1994 — 1997
Masters of Business Administration, Finance
Westinster Choir College 1980 — 1984
Bachelor of Music, Music Education, K-12
Northern Trust Securities, Inc. August 2004 - Present
Melvin Securities December 1999 - July 2004
Salomon Brothers August 1993 - November 1998
Skills
CRCP, Series 7, 24, 63, 27,...
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1994 — 1997
Masters of Business Administration, Finance
Westinster Choir College 1980 — 1984
Bachelor of Music, Music Education, K-12
Deloitte
PwC
Ernst & Young
Walgreens
Procter & Gamble
KPMG
PricewaterhouseCoopers
EY