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Stephen James Wiley

Northern Trust Securities, Inc.

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About Stephen James Wiley

Stephen Wiley is a financial advisor with Northern Trust Securities, Inc. Stephen has been working in the industry since 2006. Stephen is registered with the state of California as a Registered Investment Advisor (IA) and has an approved Series 66 (Uniform Combined State Law Examination), Series 7 (General Securities Representative Examination), and SIE (Securities Industry Essentials Examination). Stephen is also registered with the Financial Industry Regulatory Authority (FINRA) as a Registered Representative. Northern Trust Securities, Inc. offers investment advisory and portfolio management services to individuals, businesses, and institutional clients. The firm has approximately $1 billion in assets under management.

Firm Information

Stephen Wiley 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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Stephen Wiley’s Registration & Firm History

CA

02/05/2015 - Present

Northern Trust Securities, Inc. (LOS ANGELES CA)

CA

09/01/2010 - 09/30/2011

VISION INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)

CA

10/27/2006 - 08/16/2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)

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Licenses & Designations

BOTH

Issued 01/23/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/26/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen James Wiley.
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