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KENNETH ROY GUTTENTAG
KEN GUTTENTAG, KENNY GUTTENTAG
CRD#: 2770191
IA
Investment Adviser
B
Broker
NORTHERN TRUST SECURITIES, INCCRD#: 7927 50 South LaSalle
Chicago, IL 60603
Registration History
1996199820002002200420062008201020122014201620182020202220242026IANORTHERN TRUST SECURITIES, INC (CRD# 7927)2015 - Present (10 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2000 - Present (24 years)BVISION INVESTMENT SERVICES, INC. (CRD# 46609)2000 - 2010 (10 years)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)1996 - 2000 (3 years)IANORTHERN TRUST SECURITIES, INC (CRD# 7927)2002 - 2009 (7 years)
Disclosure(s)
View By:
3/11/2008
Customer Dispute
Closed-No Action
12/16/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 8/13/2009

B
Missouri 5/24/2000

B
Alaska 1/4/2011

B
Montana 10/26/2004

B
Arizona 5/16/2000

B
Nebraska 1/12/2011

B
Arkansas 1/5/2011

B
Nevada 5/18/2000

B
California 5/16/2000

B
New Hampshire 1/4/2011

B
Colorado 5/16/2000

B
New Jersey 5/16/2000

B
Connecticut 5/16/2000

B
New Mexico 5/18/2000

B
Delaware 6/22/2009

B
New York 5/16/2000

B
District of Columbia 6/17/2003

B
North Carolina 8/20/2009

B
Florida 5/17/2000

B
North Dakota 1/5/2011

B
Georgia 5/23/2000

B
Ohio 5/17/2000

B
Hawaii 1/6/2011

B
Oklahoma 1/12/2011

B
Idaho 1/4/2011

B
Oregon 5/23/2000

B
Illinois 5/15/2000

B
Pennsylvania 5/16/2000

IA
Illinois 2/5/2015

B
Rhode Island 1/6/2011

B
Indiana 5/16/2000

B
South Carolina 5/16/2000

B
Iowa 5/23/2000

B
South Dakota 1/10/2011

B
Kansas 5/16/2000

B
Tennessee 4/6/2005

B
Kentucky 8/13/2003

B
Texas 5/16/2000

B
Louisiana 1/10/2011

B
Utah 1/7/2003

B
Maine 6/18/2007

B
Vermont 8/13/2009

B
Maryland 5/10/2005

B
Virginia 5/17/2000

B
Massachusetts 5/16/2000

B
Washington 5/16/2000

B
Michigan 5/16/2000

B
West Virginia 1/6/2011

B
Minnesota 5/23/2000

B
Wisconsin 5/23/2000

B
Mississippi 5/19/2000

B
Wyoming 5/16/2000

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)
50 South LaSalle, Chicago, IL 60603
Registered with this firm since 2/5/2015

B
NORTHERN TRUST SECURITIES, INC. (CRD#:7927)
50 South LaSalle, Chicago, IL 60603
Registered with this firm since 5/15/2000

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/02/2000 - 12/31/2010 VISION INVESTMENT SERVICES, INC. (CRD#:46609) CHICAGO, IL
IA
04/02/2002 - 12/31/2009 NORTHERN TRUST SECURITIES, INC (CRD#:7927) CHICAGO, IL
B
10/17/1996 - 05/03/2000 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) OMAHA, NE
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B
Broker
IA
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.