TrueAdvisor
TrueAdvisor
CC
CC

Cathy Siqi Cao

Northern Trust Investments, Incorporated
2 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Northern Trust Investments, Incorporated
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
34 advisors
Number of Clients
41,475 clients
Average Client Portfolio
$26.9M average
Assets Under Management
$1114.8B

Fee Structure

Financial Planning:Investment management only

Location

50 S Lasalle Street, Chicago, IL, 60603-1008

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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 Investments, Incorporated
January 2023 - Present · 3 yrs 1 mo
Northern Trust Securities, INC.Broker
January 2023 - Present · 3 yrs 1 mo
Previous Registrations
Northern Trust Securities, INC
January 2023 - February 2025 · 2 yrs 1 mo
State Registrations52 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.