Douglas
Brown

Northern Trust Investments, Inc

CRD#4050702
Investment Advisor
in Tempe, AZ

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About this Advisor

Douglas Brown is a financial advisor located in Tempe, Arizona. Currently a registered investment advisor at Northern Trust Investments, Inc, Brown has 15 years of professional experience in the financial advisory industry. Brown maintains Series 63, Series 65 and Series 66 licenses, which qualify the advisor as both a securities agent and an investment advisor representative. Brown is able to work with clients based out of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Texas, Utah, Virginia, Washington, West Virginia and Wisconsin. Their career trajectory has included roles at Ing Funds Distributor, LLC, Bosc, Inc, Cavanal Hill, Bank Of Arizona, Northern Trust Bank and Northern Trust Securities, Inc. Northern Trust Investments, Inc is located in Tempe, Arizona, and has nine additional brick-and-mortar locations in the nation. In total, Northern Trust Investments, Inc oversees $807 billion in assets throughout 35,793 client accounts and employs more than 573 people. The amount of assets the firm manages places it among the largest investment advisory firms in the nation. All of the firm's accounts are managed on a discretionary basis, in which the advisor has the authority to make all investment decisions. Currently 80% of the advisory firm's investors are high-net-worth individuals, meaning they have greater than $1 million in capital. Northern Trust Investments, Inc provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, selection of other advisers, publication of newsletters and other services. The firm's fees may include asset-based, fixed, performance-based and other fees.

Certifications and Registrations

Series 63, Series 65, Series 66

Years of Experience

16 years

Services Offered

Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for pooled investment vehicles, Portfolio management for businesses or institutional clients, Selection of other advisers, Publication of periodicals or newsletters, Other

Fee Structure

Percentage of Assets, Fixed Fees, Performance-based Fees, Others

Disclosures

No

Office Location

2100 E. Elliot Road
Tempe, AZ 85284

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Northern Trust Investments, Inc Brokerage Details

Total Assets Under Management

$806,621,804,542

AZ Average: $6,674,516,078
Total Number of Employees

573

AZ Average: 44
Total Number of Accounts

35,793

AZ Average: 2,564
Average Account Size

$22,535,742

AZ Average: $2,603,165

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Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies
  • Portfolio management for pooled investment vehicles
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Other

Douglas Brown Work History

Douglas has 16 years of experience.

2015 - Present (5 years)

Northern Trust Bank

2015 - Present (5 years)

Northern Trust Securities, Inc

2011 - 2015 (4 years)

Bosc, Inc

2011 - 2015 (4 years)

Cavanal Hill

2011 - 2015 (4 years)

Bank Of Arizona

2004 - 2011 (7 years)

Ing Funds Distributor, LLC

Disclosures

Douglas Brown has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Northern Trust Investments, Inc

Erik Spano
Tempe, AZ
Kenneth Javor
Chicago, IL
Desi Berry
Tempe, AZ
Ahmed Taha
Chicago, IL
John Abunassar
Chicago, IL
Thomas Nussbaum
Bridgewater, MA
Joseph Tiralosi
Chicago, IL
Robin Tardy
Chicago, IL

This content was compiled from the SEC and FINRA.

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