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Cathy Siqi Cao

Northern Trust Investments, Inc.

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About Cathy Siqi Cao

Cathy Cao is a registered investment advisor representative with Northern Trust Investments, Inc. Cathy has been in the financial services industry since January 4, 2023. Cathy is registered with the state of Illinois and holds the Series 66, Series 7TO, and SIE licenses. Cathy specializes in providing investment advice to a variety of clients, including high-net-worth individuals, corporations, and institutions. Cathy's firm provides a variety of investment services, including portfolio management, investment research, and transition management.

Firm Information

Cathy Cao is currently registered with Northern Trust Investments, Inc.. Northern Trust Investments, Inc. is an investment advisor with offices in Chicago, IL. The firm provides portfolio management for businesses, individuals, investment companies, and pooled investment vehicles. They also offer a variety of other services including model portfolio provision, investment research, index services, transition management and overlay services, educational seminars, and publication of periodicals. Northern Trust Investments, Inc. manages over $1 trillion in assets for a diverse range of clients including insurance companies, investment companies, charitable organizations, high-net-worth individuals, corporations or other businesses, individuals other than high-net-worth, pension and profit-sharing plans, and sovereign wealth funds and foreign official institutions. The firm participates in wrap fee programs.
Northern Trust Investments, Inc.

50 S LASALLE STREET

CHICAGO, IL 60603-1008

$1.02T

Assets Under Management

65

Total Clients

16

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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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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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.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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model portfolio provider, investment research,index services, transition management and overlay services

Model portfolio provider, investment research,index services, transition management and overlay services

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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percentage of assets

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

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

Transition management service fees

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Cathy Cao’s Registration & Firm History

IL

01/31/2023 - Present

Northern Trust Investments, Inc. (CHICAGO IL)

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Licenses & Designations

BOTH

Issued 01/28/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/05/2023

Series 7TO - General Securities Representative Examination

BC

Issued 11/02/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Cathy Siqi Cao.
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