RE
Robert S. Eaton
NORTHERN TRUST INVESTMENTS
New York, NY 10022
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CRD#: 4313307
RE
Professional summary
Robert Stephen Eaton is a registered financial advisor currently at NORTHERN TRUST INVESTMENTS, INCORPORATED located in New York, New York and NORTHERN TRUST SECURITIES, INC. located in New York, New York.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Robert has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
492 Partners; Investment related; Began 01/01/2013; Investment property for rental income; Partner; rental income; 2 hours per month with 2 hours during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Stephen Eaton'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
November 5, 2024 - Present
NORTHERN TRUST INVESTMENTS, INCORPORATED
Office #1: 390 Park Avenue Lever House 2nd Floor, New York, NY, 10022RIA
CRD#: 105780
New York, NY
Current
November 4, 2024 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 390 Park Avenue Lever House 2nd Floor, New York, NY, 10022RIA
BD
CRD#: 7927
New York, NY
Past
September 13, 2024 - December 12, 2024
BONDBLOXX
RIA
CRD#: 317318
Princeton, NJ
Past
September 19, 2023 - October 16, 2024
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
New York, NY
Past
October 29, 2013 - April 5, 2023
BLACKROCK FINANCIAL MANAGEMENT, INC
RIA
CRD#: 107105
PRINCETON, NJ
Past
September 29, 2006 - April 5, 2023
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
Past
June 10, 2002 - September 29, 2006
FAM DISTRIBUTORS, INC.
BD
CRD#: 4100
NEW YORK, 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(11/4/2024)
RR
Alaska(11/4/2024)
RR
Arizona(11/4/2024)
RR
Arkansas(11/4/2024)
RR
California(11/4/2024)
RR
Colorado(11/4/2024)
RR
Connecticut(11/4/2024)
RR
Delaware(11/4/2024)
RR
District of Columbia(11/4/2024)
RR
Florida(11/4/2024)
RR
Georgia(11/4/2024)
RR
Hawaii(11/4/2024)
RR
Idaho(11/4/2024)
RR
Illinois(11/4/2024)
RR
Indiana(11/4/2024)
RR
Iowa(11/4/2024)
RR
Kansas(11/4/2024)
RR
Kentucky(11/4/2024)
RR
Louisiana(11/4/2024)
RR
Maine(11/4/2024)
RR
Maryland(11/4/2024)
RR
Massachusetts(11/4/2024)
RR
Michigan(11/4/2024)
RR
Minnesota(11/4/2024)
RR
Mississippi(11/4/2024)
RR
Missouri(11/4/2024)
RR
Montana(11/4/2024)
RR
Nebraska(11/4/2024)
RR
Nevada(11/4/2024)
RR
New Hampshire(11/4/2024)
RR
New Jersey(11/4/2024)
RR
New Mexico(11/4/2024)
RR
New York(11/4/2024)
IAR
New York(11/5/2024)
RR
North Carolina(11/4/2024)
RR
North Dakota(11/4/2024)
RR
Ohio(11/4/2024)
RR
Oklahoma(11/4/2024)
RR
Oregon(11/4/2024)
RR
Pennsylvania(11/4/2024)
RR
Rhode Island(11/4/2024)
RR
South Carolina(11/4/2024)
RR
South Dakota(11/4/2024)
RR
Tennessee(11/4/2024)
RR
Texas(11/4/2024)
RR
Utah(11/4/2024)
RR
Vermont(11/4/2024)
RR
Virginia(11/4/2024)
RR
Washington(11/4/2024)
RR
West Virginia(11/4/2024)
RR
Wisconsin(11/4/2024)
RR
Wyoming(11/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
