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Ashley Christine Sloan

Northern Trust Securities, Inc.

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About Ashley Christine Sloan

Ashley Christine Sloan is a registered representative with Northern Trust Securities, Inc. in Houston, TX. Ashley has been in the industry since August 15, 2016. Ashley is a Series 7, 79, 63, and SIE licensed professional with a background in investment banking. Ashley has a strong background in investment banking and specializes in investment services for individuals, businesses, and pooled investment vehicles. Ashley also has experience working with high-net-worth individuals and other investment advisors.

Firm Information

Ashley Sloan 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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Ashley Sloan’s Registration & Firm History

TX

11/03/2021 - Present

Northern Trust Securities, Inc. (HOUSTON TX)

TX

06/27/2016 - 09/13/2021

J.P. MORGAN SECURITIES LLC (HOUSTON TX)

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Licenses & Designations

BC

Issued 07/29/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/03/2021

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/24/2016

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ashley Christine Sloan.
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