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Tom Dorion Harrison

Northern Trust Securities, Inc.

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About Tom Dorion Harrison

Tom Harrison is a financial professional with over a decade of experience in the financial services industry. Tom is currently registered with Northern Trust Securities, Inc. and is licensed to provide a range of financial services in all 50 states. Tom holds several industry licenses and has experience in providing financial planning services to businesses and individuals. In addition to working with Northern Trust Securities, Inc. Tom has also held positions with E D & F MAN CAPITAL MARKETS INC. and TJM INVESTMENTS, LLC.

Firm Information

Tom Harrison 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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Tom Harrison’s Registration & Firm History

IL

11/08/2017 - Present

Northern Trust Securities, Inc. (CHICAGO IL)

IL

02/23/2016 - 10/12/2016

E D & F MAN CAPITAL MARKETS INC. (Chicago IL)

IL

10/06/2009 - 02/08/2016

TJM INVESTMENTS, LLC (CHICAGO IL)

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Licenses & Designations

BC

Issued 05/07/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/21/2019

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/13/2011

Series 3 - National Commodity Futures Examination

BC

Issued 10/05/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tom Dorion Harrison.
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