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Detailed Report
JUSTIN CHARLES GUTWALD
JUSTIN GUTWALD
CRD#: 5631780
IA
Investment Adviser
B
Broker
NORTHERN TRUST INVESTMENTS, INCORPORATEDCRD#: 105780 181 West Madison
Chicago, IL 60603
NORTHERN TRUST SECURITIES, INC.CRD#: 7927 181 WEST MADISON
CHICAGO, IL 60675
Registration History
2010201220142016201820202022202420262 FIRMS2013 - 2017 (4 years)2 FIRMS2017 - 2021 (3 years)2 FIRMS2021 - Present (3 years)BWADDELL & REED, INC. (CRD# 866)2009 - 2011 (1 year)IAWADDELL & REED, INC. (CRD# 866)2010 - 2011 (<1 year)
License(s)

State Registrations

B
Alabama 7/22/2021
B
Missouri 7/22/2021
B
Alaska 7/22/2021
B
Montana 7/22/2021
B
Arizona 7/22/2021
B
Nebraska 7/22/2021
B
Arkansas 7/22/2021
B
Nevada 7/22/2021
B
California 7/22/2021
B
New Hampshire 7/22/2021
B
Colorado 7/22/2021
B
New Jersey 7/22/2021
B
Connecticut 7/22/2021
B
New Mexico 7/22/2021
B
Delaware 7/22/2021
B
New York 7/22/2021
B
District of Columbia 7/22/2021
B
North Carolina 7/22/2021
B
Florida 7/22/2021
B
North Dakota 7/22/2021
B
Georgia 7/22/2021
B
Ohio 7/22/2021
B
Hawaii 7/22/2021
B
Oklahoma 7/22/2021
B
Idaho 7/22/2021
B
Oregon 7/22/2021
B
Illinois 7/22/2021
B
Pennsylvania 7/22/2021
IA
Illinois 7/22/2021
B
Rhode Island 7/22/2021
B
Indiana 7/22/2021
B
South Carolina 7/22/2021
B
Iowa 7/22/2021
B
South Dakota 7/22/2021
B
Kansas 7/22/2021
B
Tennessee 7/22/2021
B
Kentucky 7/22/2021
B
Texas 7/22/2021
B
Louisiana 7/22/2021
B
Utah 7/22/2021
B
Maine 7/22/2021
B
Vermont 7/22/2021
B
Maryland 7/22/2021
B
Virginia 7/22/2021
B
Massachusetts 7/22/2021
B
Washington 7/22/2021
B
Michigan 7/22/2021
B
West Virginia 7/22/2021
B
Minnesota 7/22/2021
B
Wisconsin 7/22/2021
B
Mississippi 7/22/2021
B
Wyoming 7/22/2021

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 INVESTMENTS, INCORPORATED (CRD#:105780)
181 West Madison, Chicago, IL 60603
Registered with this firm since 7/22/2021
B
NORTHERN TRUST SECURITIES, INC. (CRD#:7927)
181 WEST MADISON, CHICAGO, IL 60675
Registered with this firm since 7/22/2021
Previous Registration(s)
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IA
 04/25/2017 - 01/13/2021 BLACKROCK INVESTMENT MANAGEMENT, LLC (CRD#:108928) Chicago, IL
B
 04/25/2017 - 01/13/2021 BLACKROCK INVESTMENTS, LLC (CRD#:38642) CHICAGO, IL
IA
 02/14/2013 - 04/26/2017 COMERICA SECURITIES (CRD#:17079) GROSSE POINTE WOODS, MI
B
 03/04/2013 - 04/26/2017 COMERICA SECURITIES (CRD#:17079) GROSSE POINTE WOODS, MI
IA
 04/09/2010 - 02/23/2011 WADDELL & REED, INC. (CRD#:866) TROY, MI
B
 07/13/2009 - 02/23/2011 WADDELL & REED, INC. (CRD#:866) TROY, MI
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.