Full text of NORTHERN TRUST SECURITIES, INC.'s X-17A-5 filed 2026-03-02. Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # NORTHERN TRUST SECURITIES, INC. (A Wholly-Owned Subsidiary of Northern Trust Corporation) Statement of Financial Condition December 31, 2025 (With Reports of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ [ THIS PAGE INTENTIONALLY LEFT BLANK ] {2}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | A / IVI D / 1 / 1 / 1 / V / V / 1 / | | | | | |--------------------------------------------------------------------------------------------------------------|--|--|--|--| | OMB Number: 3235-0123<br>Expires: November 30, 2026<br>Estimated average burden<br>hours per response. 12.00 | | | | | | | | | | | | SEC FILE NUMBER | | | | | 8-23689 OMD ADDDOVAT ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III ### FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/25 AND ENDING MM/DD/YY 12/31/25 MM/DD/YY (Area Code - Telephone Number) ### A. REGISTRANT IDENTIFICATION ### NAME OF FIRM: Northern Trust Securities, Inc. ### TYPE OF REGISTRANT (check all applicable boxes): × Broker-Dealer \_\_ Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer ### ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | 333 South Wabash, 34th Floor | | | | |--------------------------------------------|------------------------------|--------------|--|--| | (No. and Street) | | | | | | Chicago | Illinois | 60604 | | | | (City) | (State) | (Zip Code) | | | | PERSON TO CONTACT IN REGARD TO THIS FILING | | | | | | Anthony J Peccatiello | | 312-557-3513 | | | ### B. ACCOUNTANT IDENTIFICATION ### INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this filing\* | | KPMG LLP | | | |--------------------------------------------------------|--------------------------------------------|---------|------------| | (Name - if individual, state last, first, middle name) | | | | | Two Manhattan West, 375 9th Avenue | New York | NY | 10001 | | (Address) | (City) | (State) | (Zip Code) | | 2003 | | 185 | | | (Date of Registration with PCAOB)(if applicable) | (PCAOB Registration Number, if applicable) | | | | | | | | ## FOR OFFICIAL USE ONLY \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must…Read the full text as markdown