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DAVID JEROME PAZDAN
DAVID PAZ
CRD#: 2389731
IA
Investment Adviser
B
Broker
NORTHERN TRUST SECURITIES, INCCRD#: 7927 2049 CENTURY PARK EAST
SUITE 3600
LOS ANGELES, CA 90067
Registration History
19952000200520102015202020252 FIRMS1994 - 1994 (<1 year)2 FIRMS1994 - 1995 (<1 year)2 FIRMS1996 - 1997 (<1 year)2 FIRMS2010 - 2014 (4 years)IANORTHERN TRUST SECURITIES, INC (CRD# 7927)2015 - Present (10 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2014 - Present (10 years)BVISION INVESTMENT SERVICES, INC. (CRD# 46609)2004 - 2010 (5 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2001 - 2010 (8 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)1997 - 1999 (1 year)BMIMLIC SALES CORPORATION (CRD# 15296)1996 - 1996 (<1 year)BTHE O.N. EQUITY SALES COMPANY (CRD# 2936)1995 - 1995 (<1 year)IANORTHERN TRUST SECURITIES, INC (CRD# 7927)2005 - 2009 (4 years)
License(s)

State Registrations

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Alabama 5/13/2014

B
Montana 5/13/2014

B
Alaska 5/13/2014

B
Nebraska 5/13/2014

B
Arizona 5/13/2014

B
Nevada 5/13/2014

B
Arkansas 5/13/2014

B
New Hampshire 5/13/2014

B
California 5/13/2014

B
New Jersey 5/13/2014

B
Colorado 5/13/2014

B
New Mexico 5/13/2014

B
Connecticut 5/13/2014

B
New York 5/13/2014

B
Delaware 5/13/2014

B
North Carolina 5/13/2014

B
District of Columbia 5/13/2014

B
North Dakota 5/13/2014

B
Florida 5/13/2014

B
Ohio 5/13/2014

B
Georgia 5/13/2014

B
Oklahoma 5/13/2014

B
Hawaii 5/13/2014

B
Oregon 5/13/2014

B
Idaho 5/13/2014

B
Pennsylvania 5/13/2014

B
Illinois 5/13/2014

B
Puerto Rico 8/31/2020

IA
Illinois 1/14/2015

B
Rhode Island 5/13/2014

B
Indiana 5/13/2014

B
South Carolina 5/13/2014

B
Iowa 5/13/2014

B
South Dakota 5/13/2014

B
Kansas 5/13/2014

B
Tennessee 5/13/2014

B
Kentucky 5/13/2014

B
Texas 5/13/2014

B
Louisiana 5/13/2014

B
Utah 5/13/2014

B
Maine 5/13/2014

B
Vermont 5/13/2014

B
Maryland 5/13/2014

B
Virgin Islands 8/31/2020

B
Massachusetts 5/13/2014

B
Virginia 5/13/2014

B
Michigan 5/13/2014

B
Washington 5/13/2014

B
Minnesota 5/13/2014

B
West Virginia 5/13/2014

B
Mississippi 5/13/2014

B
Wisconsin 5/13/2014

B
Missouri 5/13/2014

B
Wyoming 5/13/2014

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHERN TRUST SECURITIES, INC (CRD#:7927)
2049 CENTURY PARK EAST SUITE 3600, LOS ANGELES, CA 90067
2190 E. Elliot Road Suite 100, Tempe, AZ 85284
Registered with this firm since 1/14/2015

B
NORTHERN TRUST SECURITIES, INC. (CRD#:7927)
2049 CENTURY PARK EAST SUITE 3600, LOS ANGELES, CA 90067
2190 E. Elliot Road Suite 100, Tempe, AZ 85284
Registered with this firm since 5/13/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/26/2010 - 05/08/2014 MORGAN STANLEY (CRD#:149777) BARRINGTON, IL
B
02/26/2010 - 05/08/2014 MORGAN STANLEY (CRD#:149777) BARRINGTON, IL
B
11/15/2004 - 03/03/2010 VISION INVESTMENT SERVICES, INC. (CRD#:46609) LAKE FOREST, IL
B
06/08/2001 - 03/01/2010 NORTHERN TRUST SECURITIES, INC. (CRD#:7927) LAKE FOREST, IL
IA
10/19/2005 - 12/31/2009 NORTHERN TRUST SECURITIES, INC (CRD#:7927) LAKE FOREST, IL
B
09/03/1997 - 08/30/1999 NORTHERN TRUST SECURITIES, INC. (CRD#:7927) CHICAGO, IL
B
12/06/1996 - 07/22/1997 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
12/06/1996 - 07/22/1997 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
02/10/1996 - 10/14/1996 MIMLIC SALES CORPORATION (CRD#:15296) ST. PAUL, MN
B
09/21/1995 - 10/13/1995 THE O.N. EQUITY SALES COMPANY (CRD#:2936) CINCINNATI, OH
B
07/29/1994 - 06/23/1995 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
07/29/1994 - 06/23/1995 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
05/06/1994 - 06/23/1994 EQUICO SECURITIES, INC. (CRD#:6627) NEW YORK, NY
B
05/06/1994 - 06/23/1994 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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Broker
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Investment Adviser
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.