Michael D. Osterthun

NORTHERN TRUST INVESTMENTS

Arvada, CO

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CRD#: 6464889

Professional summary

Michael David Osterthun is a registered financial advisor currently at NORTHERN TRUST INVESTMENTS, INCORPORATED located in Arvada, Colorado and NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Michael has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, Series 3, SIE, Series 7, Series 53 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Osterthun'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

June 2, 2022 - Present

NORTHERN TRUST INVESTMENTS, INCORPORATED

RIA

CRD#: 105780

Arvada, CO

Current

June 2, 2022 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 333 South Wabash Avenue 34th Floor, Chicago, IL 60604

RIA

CRD#: 7927

CHICAGO, IL

Past

June 2, 2022 - February 18, 2025

NORTHERN TRUST SECURITIES, INC.

RIA

CRD#: 7927

Broomfield, CO

Past

January 3, 2020 - June 7, 2022

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

BOULDER, CO

Past

January 3, 2020 - June 7, 2022

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

BOULDER, CO

Past

March 21, 2018 - December 31, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

BOULDER, CO

Past

February 15, 2018 - December 31, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

February 28, 2017 - January 23, 2018

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

DENVER, CO

Past

July 7, 2016 - November 9, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

DENVER, CO

Past

March 29, 2016 - November 9, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

DENVER, CO

Past

February 10, 2016 - January 23, 2018

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

DENVER, CO

Past

December 8, 2015 - January 23, 2018

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

DENVER, CO

Past

December 8, 2015 - January 23, 2018

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

DENVER, CO

Past

December 8, 2015 - January 23, 2018

CETERA ADVISORS LLC

CRD#: 10299

DENVER, CO

Past

October 13, 2015 - January 23, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

DENVER, CO

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

Alabama
(6/2/2022)

Alaska
(6/2/2022)

Arizona
(6/2/2022)

Arkansas
(6/2/2022)

California
(6/2/2022)

Colorado
(6/2/2022)

IAR

Colorado
(6/2/2022)

Connecticut
(6/2/2022)

Delaware
(6/2/2022)

District of Columbia
(6/2/2022)

Florida
(6/2/2022)

Georgia
(6/2/2022)

Hawaii
(6/2/2022)

Idaho
(6/2/2022)

Illinois
(6/2/2022)

Indiana
(6/2/2022)

Iowa
(6/2/2022)

Kansas
(6/2/2022)

Kentucky
(6/2/2022)

Louisiana
(6/2/2022)

Maine
(6/2/2022)

Maryland
(6/2/2022)

Massachusetts
(6/2/2022)

Michigan
(6/2/2022)

Minnesota
(6/2/2022)

Mississippi
(6/2/2022)

Missouri
(6/2/2022)

Montana
(6/2/2022)

Nebraska
(6/2/2022)

Nevada
(6/2/2022)

New Hampshire
(6/2/2022)

New Jersey
(6/2/2022)

New Mexico
(6/2/2022)

New York
(6/2/2022)

North Carolina
(6/2/2022)

North Dakota
(6/2/2022)

Ohio
(6/6/2022)

Oklahoma
(6/2/2022)

Oregon
(6/2/2022)

Pennsylvania
(6/2/2022)

Puerto Rico
(6/2/2022)

Rhode Island
(6/2/2022)

South Carolina
(6/2/2022)

South Dakota
(6/2/2022)

Tennessee
(6/2/2022)

Texas
(6/2/2022)

Utah
(6/2/2022)

Vermont
(6/2/2022)

Virgin Islands
(6/2/2022)

Virginia
(6/2/2022)

Washington
(6/2/2022)

West Virginia
(6/2/2022)

Wisconsin
(6/2/2022)

Wyoming
(6/2/2022)

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: 2/9/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/26/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 8/15/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/8/2022

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/13/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/20/2025

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/31/2016

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

Michael D. Osterthun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Osterthun's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN TRUST SECURITIES, INC.

NORTHERN TRUST SECURITIES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

INVESTORS CAPITAL CORP.

VSR FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

SUMMIT BROKERAGE SERVICES, INC.

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

NORTHERN TRUST INVESTMENTS, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 2/9/2016

Series 63

Date: 12/26/2015

Series 52TO

Date: 8/15/2025

Series 3

Date: 7/8/2022

SIE

Date: 10/1/2018

Series 7

Date: 10/13/2015

Series 53

Date: 10/20/2025

Series 24

Date: 3/31/2016

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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