CRD #7927 · FINRA BrokerCheck + SEC IAPD

Northern Trust Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Northern Trust Securities, Inc. ranks #898 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #34 of 200 on the same disclosure sort used on the state browse page. Northern Trust Securities, Inc. carries 8 BrokerCheck disclosures across 140 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
140
branch offices
8
disclosures
#898 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7927 Northern Trust Securities, Inc.

Northern Trust Securities, Inc. · Grade B · 8 disc · 0.06/office · Large firm

  • CRD 7927
  • GRADE B
  • DISC 8
  • REG 8
  • ARB 0
  • CIV 0
  • BRANCH 140
  • PER-OFF 0.06
  • RANK #898 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Hornor, Townsend & Kent, LLC (0.06 disc/office)

Hornor, Townsend & Kent…0.06Parkland Securities, LLC0.06Empower Financial Servi…0.05Northern Trust Secu… (this)0.06
Disclosures per office among large firm peers (lower is cleaner)

Northern Trust Securities, Inc. ranks #898 of 20,055 by disclosure count among graded broker-dealers; light load at 0.06 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

140 offices

FINRA: Medium firm

Total disclosures

8 events

On FINRA BrokerCheck

Regulatory events

8 actions

100% of all disclosures

Disclosures per office

0.06 per office

8 ÷ 140 offices

Northern Trust Securities, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 91% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 8
Arbitrations 0
Civil Events 0
Total 8

Counts for Northern Trust Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 8 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Chicago, IL
CRD Number
7927

Regulator-heavy mix

Northern Trust Securities, Inc. in the heavier-disclosure third

Northern Trust Securities, Inc. carries 8 BrokerCheck disclosures across 140 branch offices - a heavier-third raw book among graded firms (#898 of 20,055). Regulator-initiated events are 100% of the book (8 regulatory / 0 arbitration / 0 civil).

100% of Northern Trust Securities, Inc.'s 8 disclosures are regulator-initiated (8 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Northern Trust Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Illinois cohort · 1.57× state average

Northern Trust Securities, Inc. sits above the Illinois disclosure average

Northern Trust Securities, Inc. reports 8 BrokerCheck disclosures, 1.57× the Illinois average of 5.1 across 200 graded firms with a principal-office state on file.

In Illinois, 99 firms carry Grade A and 8 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Illinois state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Northern Trust Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Northern Trust Securities, Inc. ranks #898 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #34 of 200 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Northern Trust Securities, Inc.?
A grade of B reflects Northern Trust Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 8 total disclosures across 140 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Northern Trust Securities, Inc. have?
Northern Trust Securities, Inc. has 8 total FINRA disclosures, including 8 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Northern Trust Securities, Inc.?
Northern Trust Securities, Inc. operates 140 branch offices and is classified by FINRA as a medium firm, registered in IL (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Northern Trust Securities, Inc.'s disciplinary record?
You can verify Northern Trust Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7927. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Northern Trust Securities, Inc.'s 8 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Northern Trust Securities, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Northern Trust Securities, Inc. carries 8 disclosures across 140 branch offices (about 0.06 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Northern Trust Securities, Inc., both outside IL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Hornor, Townsend & Kent, LLC (PA) - 0.06 disclosures/office, nearest large firm peer to Northern Trust Securities, Inc.'s 0.06
  • Parkland Securities, LLC (MI) - 0.06 disclosures/office, nearest large firm peer to Northern Trust Securities, Inc.'s 0.06
  • Empower Financial Services, Inc. (CO) - 0.05 disclosures/office, nearest large firm peer to Northern Trust Securities, Inc.'s 0.06
  • Firms in IL - state roster that includes Northern Trust Securities, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Northern Trust Securities, Inc..
  • Reading BrokerCheck Reports - How Northern Trust Securities, Inc.'s 0.06 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Northern Trust Securities, Inc..
  • Compare firms - put Northern Trust Securities, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.