TrueAdvisor
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AT

Adam Christopher Thein

Northern Trust Securities, INC
15 Years of Experience
Broker
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

1401 Lawrence Street, Suite 1500, Denver, CO, 80202

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Northern Trust Securities, INC.Broker
November 2024 - Present · 1 yr 3 mos
Northern Trust Securities, INC
November 2024 - Present · 1 yr 3 mos
Previous Registrations
Robert W. Baird & CO. Incorporated
July 2020 - November 2024 · 4 yrs 4 mos
Robert W. Baird & CO. IncorporatedBroker
July 2020 - November 2024 · 4 yrs 4 mos
Ameriprise Financial Services, LLC.
November 2017 - July 2020 · 2 yrs 8 mos
Ameriprise Financial Services, LLCBroker
December 2014 - July 2020 · 5 yrs 7 mos
Ameriprise Financial Services, INC.
January 2014 - November 2014 · 10 mos
Ameriprise Financial Services, INC.Broker
May 2010 - November 2014 · 4 yrs 6 mos
AXA Advisors, LLCBroker
December 2009 - May 2010 · 5 mos
State Registrations51 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.