Unclaimed Profile

Stephen Elliott Carroll

NORTHERN TRUST INVESTMENTS, INCORPORATED·CHICAGO, Illinois

NORTHERN TRUST INVESTMENTS, INCORPORATED

50 S LASALLE STREET, CHICAGO, IL 60603-1008CRD# 7671298Firm CRD# 105780

Profile Verification

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

Identity

Stephen Elliott Carroll · CHICAGO, IL

Registration

CRD #7671298 · NORTHERN TRUST INVESTMENTS, INCORPORATED

Brand Profile

Not yet started

Disclosure history

5 disclosures on file · See FINRA BrokerCheck for full record

About

Stephen Elliott Carroll is a registered financial advisor based in CHICAGO, Illinois, affiliated with NORTHERN TRUST INVESTMENTS, INCORPORATED. This profile is generated from public SEC and FINRA registration data.

Focus Areas

Specialties

Investment Management

Retirement Planning

Wealth Management

Client Types

Individuals

Institutional Investors

Pension & Retirement Plans

Nonprofits & Foundations

Introduction

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Firm Overview

Firm

NORTHERN TRUST INVESTMENTS, INCORPORATED

AUM

$1016.6B

Regulatory assets under management

Employees

674

Total firm employees

View all advisors at NORTHERN TRUST INVESTMENTS, INCORPORATED →

Services

Portfolio management (individuals)

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Market timing services

Charitable organization or education services

Other

Background

Compensation

Percentage of AUM

Fixed fees

Subscription fees

Performance-based fees

Other: TRANSITION MANAGEMENT SERVICE FEES

Regulatory

SEC/IARD CRD# 7671298

Firm CRD# 105780

View on FINRA BrokerCheck →

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Frequently Asked Questions

What services does Stephen Elliott Carroll offer?

Stephen Elliott Carroll specializes in Investment Management, Retirement Planning, Wealth Management. Contact their office in CHICAGO, Illinois for a consultation.

What are Stephen Elliott Carroll's credentials?

Stephen Elliott Carroll is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephen Elliott Carroll located?

Stephen Elliott Carroll is based in CHICAGO, Illinois, working with NORTHERN TRUST INVESTMENTS, INCORPORATED. Their office serves clients in the CHICAGO metropolitan area and surrounding communities.

How does Stephen Elliott Carroll charge for services?

Stephen Elliott Carroll's firm is compensated through percentage of aum, fixed fees, subscription fees, performance-based fees, other: transition management service fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NORTHERN TRUST INVESTMENTS, INCORPORATED?

NORTHERN TRUST INVESTMENTS, INCORPORATED has approximately 674 employees and manages $1016.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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