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Michael Howard Gottesman

Northern Trust Securities, Inc.

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About Michael Howard Gottesman

Michael Gottesman is an experienced financial professional with over 24 years of experience in the industry. Michael currently works at Northern Trust Securities, Inc. as a Registered Representative. In this role, Michael provides a variety of financial services to clients, including portfolio management for individuals, businesses, and pooled investment vehicles. Michael has a strong track record of success in helping clients achieve their financial goals. In the past, Michael has worked at firms such as INVESCO DISTRIBUTORS, INC. and OPPENHEIMERFUNDS DISTRIBUTOR, INC.

Firm Information

Michael Gottesman 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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Michael Gottesman’s Registration & Firm History

IL

08/02/2024 - Present

Northern Trust Securities, Inc. (CHICAGO IL)

MI

05/25/2019 - 10/11/2023

INVESCO DISTRIBUTORS, INC. (Bloomfield Hills MI)

NY

01/28/1999 - 05/25/2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)

NY

05/14/1998 - 11/16/1998

LEBENTHAL & CO., INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 06/12/1998

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/30/2019

Series 51 - Municipal Fund Securities Principal Examination

BC

Issued 07/28/2014

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/08/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Howard Gottesman.
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