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Michael David Osterthun

Northern Trust Investments, Inc.

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About Michael David Osterthun

Michael Osterthun is an Investment Advisor Representative registered with Northern Trust Investments, Inc. Michael has been in the financial services industry since 2015. He has passed the Series 3, Series 7, Series 24, Series 63 and Series 65 exams. Michael is registered to offer investment advisory services in 53 states. Michael previously worked at Raymond James & Associates, Inc. and Cetera Advisor Networks LLC.

Firm Information

Michael Osterthun 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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Michael Osterthun’s Registration & Firm History

CO

06/02/2022 - Present

Northern Trust Investments, Inc. (Broomfield CO)

CO

01/03/2020 - 06/07/2022

RAYMOND JAMES & ASSOCIATES, INC. (BOULDER CO)

FL

02/15/2018 - 12/31/2019

RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)

CO

02/28/2017 - 01/23/2018

FIRST ALLIED SECURITIES, INC. (DENVER CO)

CO

12/08/2015 - 01/23/2018

CETERA ADVISORS LLC (DENVER CO)

CO

12/08/2015 - 01/23/2018

CETERA FINANCIAL SPECIALISTS LLC (DENVER CO)

CO

12/08/2015 - 01/23/2018

SUMMIT BROKERAGE SERVICES, INC. (DENVER CO)

CO

10/13/2015 - 01/23/2018

CETERA ADVISOR NETWORKS LLC (DENVER CO)

CO

07/07/2016 - 11/09/2016

INVESTORS CAPITAL CORP. (DENVER CO)

CO

03/29/2016 - 11/09/2016

VSR FINANCIAL SERVICES, INC. (DENVER CO)

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Licenses & Designations

IA

Issued 02/09/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/26/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/31/2016

Series 24 - General Securities Principal Examination

BC

Issued 07/08/2022

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/13/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael David Osterthun.
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