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Investment Adviser Firm Summary

NORTHERN TRUST SECURITIES, INC. (CRD# 7927 / SEC# 8-23689, 801-80781)
Alternate Names: JEROME HICKEY ASSOCIATES, INC. , NORTHERN TRUST BROKERAGE, INC. , NORTHERN TRUST SECURITIES, INC , NORTHERN TRUST SECURITIES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/02/2015

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
Arizona 01/02/2015
California 01/02/2015
Colorado 07/14/2017
Florida 01/02/2015
Georgia 09/07/2017
Illinois 01/14/2015
Indiana 07/14/2017
Maryland 08/02/2017
Massachusetts 07/14/2017
Michigan 07/14/2017
Minnesota 09/07/2017
Nevada 09/07/2017
New Jersey 03/23/2018
New York 07/14/2017
North Carolina 07/14/2017
Pennsylvania 01/05/2018
Tennessee 07/14/2017
Texas 01/02/2015
Virginia 07/14/2017
Washington 07/14/2017
Wisconsin 07/14/2017

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