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Tristan Lee Thomas

Northern Trust Securities, Inc.

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About Tristan Lee Thomas

Tristan Lee Thomas is a financial professional with over 20 years of experience in the industry. Tristan is currently registered with Northern Trust Securities, Inc. and is based in Chicago, Illinois. Prior to Northern Trust Securities, Inc., Tristan has worked at several other firms including Mesirow Financial, Inc., Lehman Brothers Inc., Scudder Investor Services, Inc. and OppenheimerFunds Distributor, Inc. Tristan holds the Series 7 and Series 63 licenses and the SIE exam. Tristan is also registered in Illinois. Tristan's areas of specialization include Portfolio Management for Individuals, Portfolio Management for Businesses, and Portfolio Management for Pooled Investment Vehicles.

Firm Information

Tristan Thomas 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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Tristan Thomas’s Registration & Firm History

IL

11/19/2014 - Present

Northern Trust Securities, Inc. (CHICAGO IL)

IL

01/03/2007 - 06/17/2014

MESIROW FINANCIAL, INC. (CHICAGO IL)

NY

08/02/2002 - 06/01/2006

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

01/24/2000 - 09/12/2000

SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)

NY

10/30/1998 - 06/11/1999

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/19/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/28/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tristan Lee Thomas.
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