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Institutional Brokerage

 
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Take on the challenges of trading in global markets. With 24/5 follow-the-sun brokerage desks in Sydney, London and Chicago and access to 82 global markets, our intelligent brokerage and outsourced trading solutions are built around your needs.

  • Access greater liquidity and minimize trading costs through our solutions-oriented approach
  • Diversify your counterparty exposure and work with us to help manage risk
  • Customize your trading strategy to help achieve your objectives
  • Engage our traders and experts to refine your execution strategy
  • Gain confidence by working with a trusted financial institution recognized for its strong balance sheet, capital ratios and rigorous risk management practices

Agency Broker Model

We are an agency broker, executing only on client instruction. We do not engage in proprietary trading or investment banking, limiting the potential for conflicts of interest. We are fully aligned with your investment objectives.

Transparent and Quality Trade Execution

Achieve quality trading execution, objective routing and measurable results when you partner with Northern Trust. We'll help you access more liquidity, while delivering competitive execution prices in real time.

Stringent regulatory requirements call for transparent reporting. You can access reports that provide industry, sector and trade-date level details of your trading, in line with regulatory requirements.

Integrated Trading Solutions

Ease the burden and overhead expense of trading through our suite of outsourced trading services. Whether you're trading in equities, fixed income, ETFs and AIM stocks, Integrated Trading Solutions allow you to outsource the entire lifecycle of the trade so you can focus on your core business and achieve cost synergies.

Draw on Northern Trust's strengths to gain:

  • High touch execution on an agency basis, constantly endeavoring to align ourselves with your interests
  • Access to a multi-source network based on longstanding and trusted relationships
  • Integrated middle- and back-office processing, matching and settlement
  • Transparent reporting that meets regulatory requirements and offers you peace of mind
  • A deep bench of industry expertise working to support your goals
  • A seamless onboarding process

Actionable Investment Ideas

We think about investment ideas differently. We think laterally about change and identify investible ideas that are easy to understand and easy to act on. We make recommendations – buy or sell, never hold – to generate alpha.

Our ethos is to generate ideas that will help make money for clients, or at least make them think.

Contact us to hear about our ideas.

<a name="grant">&nbsp;</a>Grant Johnsey

 Grant Johnsey

Head of Institutional Brokerage, North America, Northern Trust Capital Markets
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<a name="grant">&nbsp;</a>Grant Johnsey

 Grant Johnsey

Head of Institutional Brokerage, North America, Northern Trust Capital Markets
 

Grant Johnsey is a Senior Vice President at Northern Trust. He joined Northern Trust in 2004 as the transition strategist for North America-based clients. His responsibilities include communicating with the consultant community on the Transition Management product and working with clients to understand their goals and devise the optimal strategy to achieve them.

Prior to joining Northern Trust, Mr. Johnsey spent over five years in the institutional brokerage industry. Most recently, he served as director of portfolio trading for Capital Institutional Services. Part of the responsibilities of this position were to develop and grow their transition management business.

He received a B.S. degree from Trinity University and holds Series 7, 9, 10, 24, 55 and 63 Licenses.

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NOTICE TO INVESTORS

The preceding information is intended for one-on-one use with current or prospective clients of Northern Trust. This information is confidential and may not be duplicated in any form or disseminated without prior consent of Northern Trust.

There are risks involved with investing, including possible loss of principal. The information in this communication has been obtained from sources considered reliable, but we do not guarantee that it is accurate or complete. Additional information is available upon request. Financial instruments of the type described herein may involve a high degree of risk and their value may be highly volatile. Such risks include, without limitation, risk of adverse or unanticipated market developments, risk of counterparty or issuer default, risk of adverse events involving any underlying reference obligation or entity, and risk of illiquidity. In some financial instruments, counterparties may lose their entire investment or incur an unlimited loss.

Options involve a high degree of risk, and may be appropriate investments only for sophisticated investors who are capable of understanding and assuming the risks involved. Supporting documentation for any claims, comparisons, recommendations, statistics or other technical data will be supplied upon request. Please read the Options Clearing Corporation's disclosure document: http://www.optionsclearing.com/components/docs/riskstoc.pdf and supplement http://www.theocc.com/components/docs/about/publications/november_2012_supplement.pdf

The contents of this presentation is not, and should not be construed as, a recommendation, solicitation or offer to buy or sell any securities or related financial products or services. Certain products and services may not be available in all jurisdictions.

NOTICE TO US INVESTORS

Securities products and services are sold by Registered Representatives of Northern Trust Securities, Inc. (member FINRA, SIPC), a wholly owned subsidiary of Northern Trust Corporation.

Northern Trust Transition Management trading performance is compared to average trading performance of ITG's Peer Group Universe, a universe composed of approximately 225 buy side clients and $2.8 trillion of trading on a quarterly basis. All comparisons are based on Implementation Shortfall from order arrival through execution. Costs are denoted as positive values; negative costs represent gains. Only realized trades were included in the Northern Trust Transition Management average cost numbers; no other filtering was applied. Orders with costs greater than the absolute value of 10,000 bps were removed from all of ITG's Peer Group Universe averages. Days to completion represents the average number of full trading days over the order horizon. Micro Cap data is not included as it represents less than 1% of total trade volume for both Northern Trust and the broader ITG Peer Group Universe.

Northern Trust Securities, Inc. (NTSI) is registered in Australia as a foreign corporation and is exempt from the requirement to hold an Australia financial services licence (AFSL) under the Corporations Act. NTSI is authorised and regulated by the Securities and Exchange Commission under US laws, which differ from Australian laws.

NOT FDIC INSURED | NO BANK GUARANTEE | MAY LOSE VALUE

Please refer to your Northern Trust Securities, Inc. client statements and confirmations which Northern Trust Securities, Inc. considers an official and accurate record of your account activity.

© 2019 Northern Trust Corporation. Head Office: 50 South La Salle Street, Chicago, Illinois 60603 U.S.A. Incorporated with limited liability in the U.S. Products and services provided by subsidiaries of Northern Trust Corporation may vary in different markets and are offered in accordance with local regulation. For legal and regulatory information about our offices and legal entities, visit northerntrust.com/disclosures.

This material is directed to professional clients only and is not intended for retail clients. For Asia-Pacific markets, it is directed to institutional investors, expert investors and professional investors only and should not be relied upon by retail investors.

SEC Rule 606 Report – 1st Qtr, 2016

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