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Home > Financial Services > Stock Brokers > Northern Trust Securities, Inc.

Northern Trust Securities, Inc.

Northern Trust Securities, Inc. is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.

Northern Trust Corporation is a leading provider of investment management, asset and fund administration, fiduciary and banking solutions for corporations, institutions and affluent individuals worldwide. Northern Trust, a multibank holding company based in Chicago, has a growing network of 84 offices in 18 U.S. states and has international offices in 12 locations in North America, Europe and the Asia Pacific region.

They recognize how heavily their clients rely on their systems and services. They also recognize that the unexpected can and does occur from simple situations to major outages. NTSI has successfully supported critical business activities during snowstorms, tornadoes, flooding, and other natural and man made disasters.

Prior events clearly have tested their willingness across virtually all dimensions safety, systems and telecommunications, physical space, policy, process and procedures. The company dedicates significant resources to their contingency planning and disaster recovery program. Components of their plans are tested periodically to ensure effectiveness. They consider emergency planning to be an ongoing process, requiring periodic review, to assess various risks and appropriate responses.

A Northern Trust corporate business continuity team articulates corporate planning guidelines and coordinates response and event management across all Northern Trust companies. Each Northern Trust business unit has dedicated business contingency planners to prepare and test its specific plan. The Company follows enterprise wide guidelines for contingency planning and disaster recovery from various scenarios.

It has a clearing agreement with National Financial Services which provides trade clearance, margin, money movement, and other operational services for its accounts. As a registered broker/dealer, National Financial Services is subject to the rules and regulations of the Securities and Exchange Commission, the New York Stock Exchange, the National Association of Securities Dealers, and other exchanges of which NFS is a member. These regulatory organizations each have certain rules and regulations that NFS must follow to safeguard your assets.

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