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Shawn Duane Kirby

Northern Trust Securities, Inc.

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About Shawn Duane Kirby

Shawn Kirby is a financial professional with over 20 years of experience in the industry. Shawn is currently registered with Northern Trust Securities, Inc. Shawn previously worked with Goldman, Sachs & Co., BANC ONE SECURITIES CORPORATION, CHARLES SCHWAB & CO., INC., and OLDE DISCOUNT CORPORATION. Shawn is licensed in 51 states, and holds Series 63, 66, 7, and 52 licenses.

Firm Information

Shawn Kirby 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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Shawn Kirby’s Registration & Firm History

IL

11/13/2008 - Present

Northern Trust Securities, Inc. (CHICAGO IL)

NY

06/28/2005 - 10/06/2008

GOLDMAN, SACHS & CO. (NEW YORK NY)

IL

10/19/2004 - 06/01/2005

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

TX

08/13/1997 - 08/11/2004

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

MI

08/02/1996 - 01/23/1997

OLDE DISCOUNT CORPORATION (DETROIT MI)

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Licenses & Designations

BOTH

Issued 06/27/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/08/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/07/1996

Series 7 - General Securities Representative Examination

BC

Issued 08/01/1996

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shawn Duane Kirby.
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