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Robert Raymond Borowczak

Northern Trust Securities, Inc.

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About Robert Raymond Borowczak

Robert Borowczak is a financial professional with over 17 years of experience in the financial services industry. Robert is registered to provide investment advice in 28 states and is currently associated with Northern Trust Securities, Inc. Robert has previously worked with MML Investors Services, LLC, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Robert is also a licensed representative for the state of Texas. Robert is qualified to provide investment advice to individuals, businesses, and institutional investors.

Firm Information

Robert Borowczak 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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Robert Borowczak’s Registration & Firm History

TX

06/24/2016 - Present

Northern Trust Securities, Inc. (DALLAS TX)

TX

07/22/2011 - 09/30/2011

VISION INVESTMENT SERVICES, INC. (ADDISON TX)

TX

02/09/2009 - 05/19/2011

MML INVESTORS SERVICES, LLC (DALLAS TX)

TX

04/02/2007 - 07/22/2008

MORGAN STANLEY & CO. INCORPORATED (DALLAS TX)

TX

04/05/2005 - 04/02/2007

MORGAN STANLEY DW INC. (DALLAS TX)

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Licenses & Designations

BOTH

Issued 02/26/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/16/2005

Series 31 - Futures Managed Funds Examination

BC

Issued 04/04/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Robert Raymond Borowczak. Review regulatory record here.
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