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AC
AC
Ali Newberry Carmen
Northern Trust Securities, INC
25 Years of Experience
2 Disclosures
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
High Net Worth
Northern Trust Securities, INC
Compensation
Commission-Based
Fee-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
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Location
Hammond, IN
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History
Regulatory History (2)
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
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Financial
March 2018
Final
Financial
March 2018
Final
View Full SEC Report
How to Read Disclosures
Employment History
Current Registrations
Northern Trust Securities, INC
February 2015 - Present · 11 yrs
Northern Trust Securities, INC.
January 2015 - Present · 11 yrs 1 mo
Northern Trust Securities, INC.
Broker
January 2015 - Present · 11 yrs 1 mo
Previous Registrations
Sanford C. Bernstein & CO., LLC
Broker
December 2000 - January 2015 · 14 yrs 1 mo
Sanford C. Bernstein & CO., INC.
Broker
October 2000 - December 2000 · 2 mos
State Registrations
53 states
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Advisor
Broker
Both
Exams
No exam information available for this advisor.