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Brian Wayne Bustard

Northern Trust Securities, Inc.

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About Brian Wayne Bustard

Brian Wayne Bustard is a financial professional with over 28 years of experience in the industry. Brian has a strong background in securities, having passed both the Series 7 and Series 63 exams. Brian is also a Principal, having passed the Series 24 exam and is currently registered with Northern Trust Securities, Inc. Brian previously worked with BANC ONE SECURITIES CORPORATION, MESIROW FINANCIAL, INC., and FIRST CHICAGO NBD INVESTMENT SERVICES, INC.

Firm Information

Brian Bustard 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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Brian Bustard’s Registration & Firm History

IL

01/29/2001 - Present

Northern Trust Securities, Inc. (CHICAGO IL)

IL

09/17/1999 - 01/25/2001

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

IL

05/21/1999 - 06/18/1999

MESIROW FINANCIAL, INC. (CHICAGO IL)

IL

02/01/1999 - 05/10/1999

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

IL

02/14/1995 - 02/01/1999

FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CHICAGO IL)

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Licenses & Designations

BC

Issued 03/24/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/16/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/03/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian Wayne Bustard.
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