Northern Funds Distributors, LLC

Broker-DealerFINRA MemberEst. 1999

Total AUM

—

Advisory reps

Avg account

Firm details

Headquarters: Portland, Maine
CRD number: 45943
Registered since: February 16, 1999

Firm profile

FINTRX

Overview

Northern Funds Distributors, LLC is organized as a limited liability company and is classified as a fund distributor rather than as an investment manager or capital allocator. It has been SEC-registered since 1999. Ownership is listed as a combination of a domestic entity and individual owners. Regulatory and profile flags indicate the firm does not act as a multi-state investment adviser, is not positioned as a pension consultant, and does not operate as a related adviser. It is not identified as an active ESG investor and is not a newly formed adviser.

Assets & Accounts

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 3

Gordon Taylor
Chief Compliance OfficerCRD 2990648
Kelly Whetstone
Chief Compliance Officer and Associate General CounselCRD 5380134
Susan La Fond
Managing Director, Chief Compliance OfficerCRD 4512785