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Adam Carpenter

Northern Trust Securities, Inc.

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About Adam Carpenter

Adam Carpenter is a registered representative with Northern Trust Securities, Inc. in Houston, Texas. Adam has been in the financial services industry for over 3 years and has Series 7TO, SIE, and Series 63 licenses. Adam is registered with the state of Texas, Arkansas, and Oklahoma. Adam specializes in providing financial advice to individuals, high-net-worth individuals, and businesses. Adam is also licensed to provide financial advice to corporations, partnerships, and charitable organizations. Northern Trust Securities, Inc. is a financial services firm that provides a variety of services, including investment management, financial planning, and retirement planning. The firm has a strong reputation for providing high-quality financial advice and services to its clients.

Firm Information

Adam Carpenter is currently registered with Northern Trust Securities, Inc.. Northern Trust Securities, Inc. is a corporation headquartered in Chicago, IL, formed in 1979. The firm provides portfolio management services for individuals, businesses, and pooled investment vehicles. They also offer selection of other advisers. Northern Trust Securities, Inc. is registered with the SEC and in 53 states. They manage approximately $1,026,259,255 in regulatory assets.
Northern Trust Securities, Inc.

333 S. WABASH AVENUE

CHICAGO, IL 60604

$1.03B

Assets Under Management

2,110

Total Clients

282

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Adam Carpenter’s Registration & Firm History

TX

08/10/2020 - Present

Northern Trust Securities, Inc. (HOUSTON TX)

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Licenses & Designations

BC

Issued 08/19/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/10/2020

Series 7TO - General Securities Representative Examination

BC

Issued 02/14/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Adam Carpenter.
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