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Investment Adviser Firm Summary

NORTHERN TRUST INVESTMENTS, INCORPORATED (CRD# 105780 / SEC# 801-33358)
Alternate Names: NORTHERN TRUST INVESTMENTS INC. , NORTHERN TRUST INVESTMENTS, INCORPORATED , NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. , NTI, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/25/1988

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 12/20/2000
Alaska 07/14/2000
Arizona 07/12/2000
Arkansas 07/13/2000
California 07/19/2000
Colorado 07/17/2000
Connecticut 08/11/2000
Delaware 08/12/2003
District of Columbia 09/05/2000
Florida 07/27/2000
Georgia 07/13/2001
Hawaii 07/13/2000
Idaho 07/14/2000
Illinois 07/12/2000
Indiana 02/08/2001
Iowa 07/13/2000
Kansas 07/12/2000
Kentucky 07/13/2000
Louisiana 03/28/2002
Maine 08/07/2000
Maryland 07/21/2000
Massachusetts 07/12/2000
Michigan 07/14/2000
Minnesota 07/13/2000
Mississippi 05/31/2000
Missouri 07/12/2000
Montana 07/14/2000
Nebraska 08/25/1994
Nevada 08/14/2000
New Hampshire 07/17/2000
New Jersey 07/24/2000
New Mexico 07/18/2000
New York 01/10/2000
North Carolina 12/19/2000
North Dakota 07/25/2000
Ohio 07/13/2000
Oklahoma 08/09/2000
Oregon 07/13/2000
Pennsylvania 07/12/2000
Puerto Rico 07/19/2000
Rhode Island 07/18/2000
South Carolina 07/18/2000
South Dakota 07/14/2000
Tennessee 07/18/2000
Texas 07/26/2000
Utah 07/13/2000
Vermont 08/14/2000
Virginia 07/14/2000
Washington 07/17/2000
West Virginia 07/21/2000
Wisconsin 07/12/2000
Wyoming 09/29/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser