AS
Andrew W. Sherman
NORTHERN TRUST INVESTMENTS
Chicago, IL 60603
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CRD#: 6602032
AS
Professional summary
Andrew William Sherman is a registered financial advisor currently at NORTHERN TRUST INVESTMENTS, INCORPORATED located in Chicago, Illinois and NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Andrew has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew William Sherman'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
June 10, 2022 - Present
NORTHERN TRUST INVESTMENTS, INCORPORATED
Office #1: 181 West Madison Mb-22, Chicago, IL 60603RIA
CRD#: 105780
Chicago, IL
Current
May 20, 2022 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 181 West Madison, Chicago, IL 60675RIA
BD
CRD#: 7927
Chicago, IL
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(6/21/2022)
RR
Alaska(6/21/2022)
RR
Arizona(6/21/2022)
RR
Arkansas(6/21/2022)
RR
California(6/21/2022)
RR
Colorado(6/21/2022)
RR
Connecticut(6/21/2022)
RR
Delaware(6/21/2022)
RR
District of Columbia(6/21/2022)
RR
Florida(6/21/2022)
RR
Georgia(6/21/2022)
RR
Hawaii(6/21/2022)
RR
Idaho(6/21/2022)
RR
Illinois(6/10/2022)
IAR
Illinois(6/10/2022)
RR
Indiana(6/21/2022)
RR
Iowa(6/21/2022)
RR
Kansas(6/21/2022)
RR
Kentucky(6/21/2022)
RR
Louisiana(6/21/2022)
RR
Maine(6/21/2022)
RR
Maryland(6/21/2022)
RR
Massachusetts(6/21/2022)
RR
Michigan(6/21/2022)
RR
Minnesota(6/21/2022)
RR
Mississippi(6/21/2022)
RR
Missouri(6/21/2022)
RR
Montana(6/21/2022)
RR
Nebraska(6/21/2022)
RR
Nevada(6/21/2022)
RR
New Hampshire(6/21/2022)
RR
New Jersey(6/21/2022)
RR
New Mexico(6/21/2022)
RR
New York(6/21/2022)
RR
North Carolina(6/21/2022)
RR
North Dakota(6/21/2022)
RR
Ohio(6/21/2022)
RR
Oklahoma(6/21/2022)
RR
Oregon(6/21/2022)
RR
Pennsylvania(6/21/2022)
RR
Rhode Island(6/21/2022)
RR
South Carolina(6/21/2022)
RR
South Dakota(6/21/2022)
RR
Tennessee(6/21/2022)
RR
Texas(6/21/2022)
RR
Utah(6/21/2022)
RR
Vermont(6/21/2022)
RR
Virginia(6/21/2022)
RR
Washington(6/21/2022)
RR
West Virginia(6/21/2022)
RR
Wisconsin(6/21/2022)
RR
Wyoming(6/21/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/20/2022
General Securities Representative ExaminationGeneral 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.
