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Detailed Report
ANDERSON EDUARDO ARIZA
ANDERSON E ARIZA
CRD#: 3217175
IA
Investment Adviser
B
Broker
NORTHERN TRUST SECURITIES, INCCRD#: 7927 600 BRICKELL AVENUE
MIAMI, FL 33131
Registration History
2002200420062008201020122014201620182020202220242026IANORTHERN TRUST SECURITIES, INC (CRD# 7927)2015 - Present (10 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2004 - Present (21 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2004 (1 year)BCIBC WORLD MARKETS CORP. (CRD# 630)2002 - 2002 (<1 year)
Disclosure(s)
View By:
10/5/2012
Customer Dispute
Closed-No Action
9/1/2008
Customer Dispute
Closed-No Action
7/26/2008
Customer Dispute
Closed-No Action
6/30/2008
Customer Dispute
Closed-No Action
5/27/2008
Customer Dispute
Closed-No Action
4/21/2008
Customer Dispute
Closed-No Action
4/8/2008
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 3/15/2017
B
New Hampshire 8/25/2015
B
California 2/2/2004
B
New Jersey 2/2/2004
B
Colorado 2/2/2004
B
New Mexico 3/26/2014
B
Connecticut 8/25/2015
B
New York 2/2/2004
B
Delaware 8/25/2015
B
North Carolina 3/26/2014
B
District of Columbia 11/19/2009
B
Ohio 8/25/2015
B
Florida 2/2/2004
B
Oregon 8/6/2018
IA
Florida 4/9/2015
B
Pennsylvania 8/25/2015
B
Georgia 2/2/2004
B
Puerto Rico 9/24/2018
B
Idaho 8/25/2015
B
Rhode Island 6/16/2023
B
Illinois 2/2/2004
B
South Carolina 8/26/2015
B
Indiana 1/20/2011
B
Tennessee 3/21/2019
B
Kentucky 8/25/2015
B
Texas 2/2/2004
B
Louisiana 4/6/2016
B
Utah 8/25/2015
B
Maryland 8/25/2015
B
Vermont 7/27/2017
B
Massachusetts 11/27/2013
B
Virginia 2/2/2004
B
Mississippi 8/25/2015
B
Washington 11/17/2021
B
Missouri 8/25/2015
B
Wisconsin 11/18/2015
B
Nevada 5/11/2017
B
Wyoming 8/25/2015

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHERN TRUST SECURITIES, INC (CRD#:7927)
600 BRICKELL AVENUE, MIAMI, FL 33131
595 BILTMORE WAY, CORAL GABLES, FL 33134
Registered with this firm since 4/9/2015
B
NORTHERN TRUST SECURITIES, INC. (CRD#:7927)
600 BRICKELL AVENUE, MIAMI, FL 33131
595 BILTMORE WAY, CORAL GABLES, FL 33134
Registered with this firm since 2/2/2004
Previous Registration(s)
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B
 11/08/2002 - 02/05/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 05/20/2002 - 10/25/2002 CIBC WORLD MARKETS CORP. (CRD#:630) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.