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Shei Unger

Northern Trust Securities, Inc.

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About Shei Unger

Shei Unger is a financial advisor with Northern Trust Securities, Inc., based in Dallas, TX. Shei has been in the financial services industry since 2007, and has experience working with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations. Shei holds Series 7, 52, 63 and 65 licenses.

Firm Information

Shei Unger 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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Shei Unger’s Registration & Firm History

TX

06/09/2020 - Present

Northern Trust Securities, Inc. (DALLAS TX)

TX

11/07/2012 - 10/16/2013

PTX SECURITIES, LLC (PLANO TX)

TX

10/23/2009 - 09/16/2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)

TX

10/23/2002 - 10/23/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (DALLAS TX)

MI

07/22/1998 - 10/07/2002

H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)

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Licenses & Designations

BC

Issued 06/06/2020

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 08/07/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/1998

Series 7 - General Securities Representative Examination

BC

Issued 07/17/1998

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shei Unger.
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