Unclaimed Profile

Robin Lisa Tardy

NORTHERN TRUST SECURITIES, INC.·CHICAGO, Illinois

SIE, Series 6, Series 7, Series 24, Series 63, Series 66Clean record22 years registeredNORTHERN TRUST SECURITIES, INC.

50 S. LASALLE, CHICAGO, IL 60603-0001CRD# 4159996Firm CRD# 7927

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Robin Lisa Tardy · CHICAGO, IL

Registration

CRD #4159996 · NORTHERN TRUST SECURITIES, INC. · 22 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: NORTHERN TRUST SECURITIES, INC.

NORTHERN TRUST INVESTMENTS, INCORPORATED

Sep 2018 – Jun 2024

Chicago, IL

GUGGENHEIM INVESTMENTS

Mar 2014 – Mar 2016

CHICAGO, IL

CLAYMORE ADVISORS, LLC

Mar 2004 – Nov 2008

LISLE, IL

CLAYMORE SECURITIES, INC.

Mar 2004 – May 2004

chicago, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 63

Series 66

Registration record

First registered · March 5, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

NORTHERN TRUST SECURITIES, INC.

CRD 7927 · SEC 801-80781

AUM

$1.0B

Regulatory assets under management

Employees

2,110 client accounts

Services offered by NORTHERN TRUST SECURITIES, INC.

Per Form ADV

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

View all advisors at NORTHERN TRUST SECURITIES, INC. →

Introduction

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Frequently Asked Questions

What services does Robin Lisa Tardy offer?

Robin Lisa Tardy specializes in Investment Management, Retirement Planning, Wealth Management.

What are Robin Lisa Tardy's credentials?

Robin Lisa Tardy is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Robin Lisa Tardy located?

Robin Lisa Tardy is based in CHICAGO, Illinois, last registered with NORTHERN TRUST SECURITIES, INC..

How does Robin Lisa Tardy charge for services?

Robin Lisa Tardy's firm is compensated through percentage of aum, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NORTHERN TRUST SECURITIES, INC.?

NORTHERN TRUST SECURITIES, INC. has approximately 75 employees and manages $1.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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