linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Oliver John james Smith

Northern Trust Securities, Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Oliver? Claim Your Profile

About Oliver John james Smith

Oliver John james Smith is an experienced financial professional, licensed in all 50 states and Puerto Rico. Oliver has been with Northern Trust Securities, Inc. since 2018, bringing over 6 years of industry experience. Oliver specializes in providing investment advice and portfolio management services for individuals, businesses, and pooled investment vehicles. Oliver is a Registered Options Principal and holds the Series 7TO, Series 63, Series 4, Series 57, and SIE licenses. Oliver is a valuable asset to Northern Trust Securities, Inc., with a proven track record of success in the financial services industry.

Firm Information

Oliver Smith 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.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

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

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Oliver Smith’s Registration & Firm History

IL

12/11/2018 - Present

Northern Trust Securities, Inc. (CHICAGO IL)

NA

03/27/2018 - 12/07/2018

NORTHERN TRUST SECURITIES, INC. (London )

Not sure if Oliver John james Smith is right for you?

Licenses & Designations

BC

Issued 09/06/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/25/2024

Series 4 - Registered Options Principal Examination

BC

Issued 06/18/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/26/2018

Series 57 - Securities Trader Exam

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Oliver John james Smith.
Not sure if Oliver John james Smith is right for you?