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Anderson Eduardo Ariza

Northern Trust Securities, INC
23 Years of Experience
7 DisclosuresBroker
View SEC Summary
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 (7)
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
October 2012
Closed-No Action
Customer Dispute
September 2008
Closed-No Action
Customer Dispute
July 2008
Closed-No Action
Customer Dispute
June 2008
Closed-No Action
Customer Dispute
May 2008
Closed-No Action
Customer Dispute
April 2008
Closed-No Action
Customer Dispute
April 2008
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Northern Trust Securities, INC
April 2015 - Present · 10 yrs 10 mos
Northern Trust Securities, INC.
February 2004 - Present · 22 yrs
Northern Trust Securities, INC.Broker
February 2004 - Present · 22 yrs
Previous Registrations
Citigroup Global Markets INC.Broker
November 2002 - February 2004 · 1 yr 3 mos
Cibc World Markets CORP.Broker
May 2002 - October 2002 · 5 mos
State Registrations37 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Anderson Eduardo Ariza - Financial Advisor | TrueAdvisor