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Thomas Docherty

Northern Trust Securities, Inc.

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About Thomas Docherty

Thomas Docherty is a registered representative with Northern Trust Securities, Inc. Thomas has been in the industry since August 2006. He is licensed to sell securities in Florida. Thomas has a wide range of experience in providing financial advice and investment management services. He is committed to helping clients achieve their financial goals. Northern Trust Securities, Inc. is a registered investment adviser that provides investment management services to individuals, families, institutions, and corporations.

Firm Information

Thomas Docherty 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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Thomas Docherty’s Registration & Firm History

AZ

03/28/2024 - Present

Northern Trust Securities, Inc. (Tempe AZ)

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Licenses & Designations

BOTH

Issued 03/16/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/28/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/21/2016

Series 4 - Registered Options Principal Examination

BC

Issued 06/11/2015

Series 53 - Municipal Securities Principal Examination

BC

Issued 07/31/2014

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/27/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Docherty.
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