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Baxter A. Wennlund
NORTHERN TRUST SECURITIES | Financial Consultant
Chicago, IL 60603
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CRD#: 7061021
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Professional summary
Baxter Alexander Wennlund, who also goes by Baxter Alexander Wennlund, Baxter Wennlund, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.
Baxter is registered as a RR (Registered Representative) and started their career in finance in 2019. Baxter has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Biography
As a Financial Consultant at Fidelity Investments, I partner with clients to help them understand and develop their financial plans. I do this through a relational, fact based approach focused on financial literacy and plan improvement. As we work together, my objective is to provide an exceptional experience tailored to your specific financial goals.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Baxter Alexander Wennlund | Baxter Wennlund
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) - BD
Click below to view Baxter Alexander Wennlund'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®
NoneEducation
Northwestern Kellogg School of Management
Master of Business Administration (MBA) - Management, Finance, Strategy
2022
Wheaton College
Bachelor of Arts (BA) - Business Economics
2016
Experience
Current
January 20, 2023 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 50 South Lasalle, Chicago, IL 60603RIA
BD
CRD#: 7927
Chicago, IL
Past
August 21, 2020 - December 22, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
CHICAGO, IL
Past
August 20, 2020 - December 21, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
CHICAGO, IL
Past
June 27, 2019 - August 11, 2020
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
CHICAGO, IL
Past
April 3, 2019 - August 11, 2020
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
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".
NORTHERN TRUST SECURITIES, INC.
JEROME HICKEY ASSOCIATES, INC. | NORTHERN TRUST SECURITIES, INC. | NORTHERN TRUST SECURITIES, INC | NORTHERN TRUST BROKERAGE, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
RIA
Registered Investment Advisory firm - SEC (1/2/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Arizona(1/7/2025)
RR
California(1/7/2025)
RR
District of Columbia(1/7/2025)
RR
Florida(1/7/2025)
RR
Illinois(1/20/2023)
RR
Massachusetts(1/7/2025)
RR
Michigan(1/7/2025)
RR
New Jersey(1/7/2025)
RR
New York(1/7/2025)
RR
Wisconsin(1/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/3/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NORTHERN TRUST SECURITIES, INC.
JEROME HICKEY ASSOCIATES, INC. | NORTHERN TRUST SECURITIES, INC. | NORTHERN TRUST SECURITIES, INC | NORTHERN TRUST BROKERAGE, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
RIA
Registered Investment Advisory firm - SEC (1/2/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
333 S. Wabash Avenue 34th Floor, Chicago, IL 60604
Mailing Address
333 S. Wabash Avenue, Chicago, IL 60604
Phone number
(312) 557-2000
Established
Delaware since 04/05/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
76
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NORTHERN TRUST CORPORATION | SHAREHOLDER | |
| BLOWERS, DAVID CHARLES | DIRECTOR | 4377133 |
| BURNS, RYAN DOUGLAS | DIRECTOR | 7427168 |
| CARBERRY, CRAIG RICHARD | SECRETARY | 2075889 |
| CHAPPELL, DARLENE | MLRO (ANTI-MONEY LAUNDERING OFFICER) | 8158928 |
| CHERRY, JON VINCENT | PRESIDENT | 4255568 |
| CHERRY, JON VINCENT | DIRECTOR | 4255568 |
| ELLIS, KATHERINE THERESE | DIRECTOR | 2519959 |
| GOFORTH, STEPHANIE ECKERT | DIRECTOR | 4348777 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF OPERATIONS OFFICER | 5716365 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF FINANCIAL OFFICER | 5716365 |
| PICKETT, MELANIE ZAIRIS | DIRECTOR | 3256748 |
| THOMAS, SUNITHA CHERIAN | DIRECTOR | 7881171 |
| THORNTON, MITCHELL BLAIR | DIRECTOR | 2515299 |
| WILLIAMS, AMANDA TAWNEY | CHIEF COMPLIANCE OFFICER | 4195897 |
Regulatory assets under management
| Total Number of Accounts | 2,283 |
| AUM (Assets Under Management) | $ 1,276,929,981 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 09/25/2024 | ||
| 08/23/2023 |
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.
Company Information
NORTHERN TRUST SECURITIES, INC.
Financial ConsultantCRD#: 7927Chicago, IL 60603TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
