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Investment Adviser Firm Summary
NORTHERN TRUST SECURITIES, INC ( CRD # 7927/SEC#:801-80781,8-23689 )
JEROME HICKEY ASSOCIATES, INC., NORTHERN TRUST SECURITIES, INC., NORTHERN TRUST SECURITIES, INC, NORTHERN TRUST BROKERAGE, INC.
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved1/2/2015
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.

JURISDICTIONEFFECTIVE DATE
Alabama2/24/2025
Alaska2/24/2025
Arizona1/2/2015
Arkansas2/24/2025
California1/2/2015
Colorado7/14/2017
Connecticut6/4/2019
Delaware2/24/2025
District of Columbia10/15/2020
Florida1/2/2015
Georgia9/7/2017
Hawaii10/31/2022
Idaho2/24/2025
Illinois1/14/2015
Indiana7/14/2017
Iowa2/24/2025
Kansas2/24/2025
Kentucky12/13/2024
Louisiana2/8/2021
Maine6/30/2023
Maryland8/2/2017
Massachusetts7/14/2017
Michigan7/14/2017
Minnesota10/5/2021
Mississippi2/24/2025
Missouri6/2/2022
Montana2/24/2025
Nebraska2/24/2025
Nevada9/7/2017
New Hampshire10/11/2023
New Jersey3/23/2018
New Mexico2/24/2025
New York7/14/2017
North Carolina7/14/2017
North Dakota2/24/2025
Ohio6/4/2019
Oklahoma3/21/2024
Oregon7/5/2019
Pennsylvania1/5/2018
Rhode Island2/24/2025
South Carolina3/12/2021
South Dakota2/24/2025
Tennessee7/14/2017
Texas1/2/2015
Utah12/16/2022
Vermont6/1/2021
Virgin Islands2/24/2025
Virginia7/14/2017
Washington7/14/2017
West Virginia2/24/2025
Wisconsin7/14/2017
Wyoming2/24/2025
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.