WU
Wesley A. Urick
NORTHERN TRUST INVESTMENTS
Chicago, IL 60603
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CRD#: 2394966
WU
Professional summary
Wesley A Urick, who also goes by Wesley Arthur Urick, Wesley Urick, is a registered financial advisor currently at NORTHERN TRUST INVESTMENTS, INCORPORATED located in Chicago, Illinois and NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.
Wesley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Wesley has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wesley Arthur Urick | Wesley Urick
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates.
CRS (Client Relationship Summary) - RIA
Click below to view Wesley A Urick's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 28, 2024 - Present
NORTHERN TRUST INVESTMENTS, INCORPORATED
Office #1: 181 West Madison Street Mb-22, Chicago, IL 60603RIA
CRD#: 105780
Chicago, IL
Current
October 28, 2024 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 181 West Madison, Chicago, IL 60675RIA
BD
CRD#: 7927
Chicago, IL
Past
November 28, 2023 - September 11, 2024
PRINCIPAL ASSET MANAGEMENT
RIA
CRD#: 109002
Hinsdale, IL
Past
November 27, 2023 - September 11, 2024
PRINCIPAL FUNDS DISTRIBUTOR, INC.
BD
CRD#: 43261
DES MOINES, IA
Past
July 16, 2014 - January 18, 2023
BLACKROCK FINANCIAL MANAGEMENT, INC
RIA
CRD#: 107105
NEW YORK, NY
Past
January 3, 2012 - January 18, 2023
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEW YORK, NY
Past
November 6, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
BD
CRD#: 146183
CHICAGO, IL
Past
October 18, 2007 - December 31, 2009
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
CHICAGO, IL
Past
March 18, 2002 - November 8, 2004
WILSHIRE ASSOCIATES INCORPORATED
BD
CRD#: 6210
SANTA MONICA, CA
Past
October 6, 1998 - March 15, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
October 13, 1993 - October 12, 1998
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NT
NORTHERN TRUST INVESTMENTS, INCORPORATED
NORTHERN TRUST INVESTMENTS INC. | NTI, INC. | NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. | NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
RIA
Registered Investment Advisory firm - (11/25/1988 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/12/2024)
RR
Alaska(11/18/2024)
RR
Arizona(11/12/2024)
RR
Arkansas(11/12/2024)
RR
California(10/29/2024)
RR
Colorado(11/12/2024)
RR
Connecticut(10/29/2024)
RR
Delaware(11/14/2024)
RR
District of Columbia(11/13/2024)
RR
Florida(10/29/2024)
RR
Georgia(10/29/2024)
RR
Hawaii(11/13/2024)
RR
Idaho(10/29/2024)
IAR
Illinois(10/28/2024)
RR
Illinois(11/8/2024)
RR
Indiana(11/12/2024)
RR
Iowa(10/31/2024)
RR
Kansas(10/28/2024)
RR
Kentucky(11/14/2024)
RR
Louisiana(11/15/2024)
RR
Maine(10/28/2024)
RR
Maryland(11/15/2024)
RR
Massachusetts(10/28/2024)
RR
Michigan(11/12/2024)
RR
Minnesota(11/12/2024)
RR
Mississippi(11/13/2024)
RR
Missouri(10/28/2024)
RR
Montana(11/12/2024)
RR
Nebraska(10/28/2024)
RR
Nevada(11/12/2024)
RR
New Hampshire(11/14/2024)
RR
New Jersey(11/12/2024)
RR
New Mexico(11/11/2024)
RR
New York(11/22/2024)
RR
North Carolina(11/14/2024)
RR
North Dakota(11/12/2024)
RR
Ohio(10/29/2024)
RR
Oklahoma(11/12/2024)
RR
Oregon(11/8/2024)
RR
Pennsylvania(10/29/2024)
RR
Puerto Rico(11/4/2024)
RR
Rhode Island(11/12/2024)
RR
South Carolina(11/13/2024)
RR
South Dakota(11/13/2024)
RR
Tennessee(11/12/2024)
RR
Texas(10/28/2024)
RR
Utah(10/29/2024)
RR
Vermont(11/12/2024)
RR
Virgin Islands(11/13/2024)
RR
Virginia(11/12/2024)
RR
Washington(11/12/2024)
RR
West Virginia(11/14/2024)
RR
Wisconsin(10/29/2024)
RR
Wyoming(10/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NT
NORTHERN TRUST INVESTMENTS, INCORPORATED
NORTHERN TRUST INVESTMENTS INC. | NTI, INC. | NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. | NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
RIA
Registered Investment Advisory firm - (11/25/1988 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
50 S Lasalle Street, Chicago, IL 60603-1008
Mailing Address
Phone number
(312) 630-6000
Established
Firm type
Fiscal year end
# of Employees
674
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,475 |
| AUM (Assets Under Management) | $ 1,114,770,223,733 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 09/27/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780Chicago, IL 60603TRUST BUT VERIFY
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Contact information
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