NORTHERN TRUST SECURITIES, INC

Legal name: NORTHERN TRUST SECURITIES, INC.

CRD 7927File 801-80781

APPROVED

Retail clients

Custody

Disclosure events

Filing as of Jul 17, 2026

Feed vintage Aug 17, 2026

Regulatory AUM

$1.66B

Top 25% of cohort (national)

Discretionary AUM

$1.66B

Clients

2,049

2,605 accounts

Employees

385

Above cohort median in IL

Identity & registration

ADV Item 1

Organization form: Corporation
Firm type: Registered
SEC region: CHRO
Registration date: Jan 2, 2015
Principal office: 333 S. WABASH AVENUE, 34TH FLOOR, CHICAGO, IL, 60604
Phone: 312-630-6000
Website: HTTP://WWW.NORTHERNTRUST.COM

Assets & accounts

ADV Item 5F

Total regulatory AUM: $1.66B
Discretionary AUM: $1.66B
Non-discretionary AUM: $0
Discretionary accounts: 2,605
Non-discretionary accounts: 0
Total accounts: 2,605
AUM per client: $811K

Clients by type

ADV Item 5D

Client type	Clients	AUM
Other	14	$15.9M
Charitable organizations	11	$10.0M
High net worth individuals	1,406	$1.46B
Individuals (other than high net worth individuals)	618	$175.1M

Compensation & activities

ADV Items 5E, 5G

Compensation

Fixed fees
A percentage of assets under your management

Advisory activities

Financial planning services
Selection of other advisers
Portfolio management for businesses
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: Yes
Firm Custody Assets: Yes
Firm Custody Clients: Yes
Firm Custody Securities: Yes
Related Person Custody Cash: No
Related Person Custody Assets: Yes
Related Person Custody Clients: Yes
Related Person Custody Securities: No

Disclosure events

ADV Item 11

Q11
Q11C2
Q11C5
Q11E2

Filed changes

Date	Field	From	To
Aug 17, 2026	Clients	2053	2049
Aug 12, 2026	Registration	—	APPROVED

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.