Barbara Luis

Northern Trust Securities, INC

31 Years of Experience

4 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementHigh Net Worth

Northern Trust Securities, INC

Compensation

Commission-BasedFee-Only (AUM)Fixed/Hourly

Firm Size

121 advisors

Number of Clients

2,283 clients

Average Client Portfolio

$559K average

Assets Under Management

$1.3B

Fee Structure

Minimum Investment:$20K

Financial Planning:Investment management only

Minimum Annual Fee:$250

Location

600 Brickell Avenue, Miami, FL, 33131

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History

Regulatory History (4)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

November 2009

Denied

Customer Dispute

April 2008

Closed-No Action

Customer Dispute

March 2008

Closed-No Action

Customer Dispute

December 2007

Denied

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Northern Trust Securities, INC

April 2015 - Present · 10 yrs 10 mos

Northern Trust Securities, INC.

November 1999 - Present · 26 yrs 3 mos

Northern Trust Securities, INC.Broker

November 1999 - Present · 26 yrs 3 mos

Previous Registrations

Northern Trust Securities, INC

August 2001 - December 2009 · 8 yrs 4 mos

Vision Investment Services, INC.Broker

March 2000 - September 2011 · 11 yrs 6 mos

Citicorp Investment ServicesBroker

June 1994 - November 1999 · 5 yrs 5 mos

State Registrations40 states

AZCACOCTDCDEFLGAIDILINKYLAMAMDMEMIMOMSMTNCNHNJNMNVNYOHORPAPRSCTNTXUTVAVTVirgin IslandsWAWIWY

AdvisorBrokerBoth

Exams

No exam information available for this advisor.