Stephen Russell

NORTHERN TRUST INVESTMENTS

Cicero, NY

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CRD#: 6248976

Professional summary

Stephen Russell, who also goes by Stephen Patrick Russell, is a registered financial advisor currently at NORTHERN TRUST INVESTMENTS, INCORPORATED located in Cicero, New York and NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Stephen has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Patrick Russell

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Russell's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 3, 2023 - Present

NORTHERN TRUST INVESTMENTS, INCORPORATED

RIA

CRD#: 105780

Cicero, NY

Current

August 21, 2023 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 181 West Madison, Chicago, IL 60675

RIA

CRD#: 7927

Chicago, IL

Past

January 10, 2022 - November 10, 2022

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

AUSTIN, TX

Past

June 3, 2021 - November 10, 2022

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

April 28, 2021 - May 28, 2021

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

November 17, 2020 - May 28, 2021

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

November 16, 2020 - May 28, 2021

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

SAN DIEGO, CA

Past

June 26, 2017 - May 28, 2021

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

March 10, 2015 - June 27, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

East Rochester, NY

Past

April 25, 2014 - February 12, 2015

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

ROCHESTER, NY

Past

December 9, 2013 - February 12, 2015

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

ROCHESTER, 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".

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.

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

IAR

New York
(1/3/2023)

New York
(8/21/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/7/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/23/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/9/2013

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/5/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHERN TRUST INVESTMENTS, INC. FORM ADV PART 2A BROCHURE (3/28/2025)

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	Cover Page	Report
09/27/2024	Cover Page	Report
08/24/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Stephen Russell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Russell's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN TRUST SECURITIES, INC.

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

NEXT FINANCIAL GROUP, INC.

CUSO FINANCIAL SERVICES, L.P.

SORRENTO PACIFIC FINANCIAL, LLC

CADARET, GRANT & CO., INC.

MML INVESTORS SERVICES, LLC

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

NORTHERN TRUST INVESTMENTS, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/7/2022

Series 63

Date: 12/23/2013

SIE

Date: 10/1/2018

Series 7

Date: 1/25/2015

Series 6

Date: 12/9/2013

Series 24

Date: 7/5/2017

FINRA

Current Firm

NORTHERN TRUST INVESTMENTS, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NORTHERN TRUST INVESTMENTS, INCORPORATED

TRUST BUT VERIFY

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