Troy Braswell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Troy Braswell, who also goes by Troy Jonathan Braswell, was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 2008. Troy had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2018 - July 19, 2019
NORTHERN TRUST INVESTMENTS, INCORPORATED
June 29, 2018 - July 19, 2019
NORTHERN TRUST SECURITIES, INC.
October 6, 2015 - June 18, 2018
PNC CAPITAL ADVISORS LLC
June 8, 2015 - June 19, 2018
FORESIDE DISTRIBUTION SOLUTIONS, LLC
June 24, 2008 - February 19, 2015
JANUS HENDERSON DISTRIBUTORS US LLC
Primary Firm SEC Registration
NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
Contact information
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.
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