Samantha Elizabeth Swayze

CRD 7808835 · Northern Trust Investments, Incorporated · Chicago, IL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 63Series 65Series 7TOSIE
Registered states (51): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 3
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Northern Trust Investments, Incorporated
Firm CRD: 105780
SEC number: 801-33358
Assets under management: $1.2T as of Jun 15, 2026
Website: www.linkedin.com/COMPANY/NORTHERN-TRUST-ASSET-MANAGEMENT ↗
Phone: 312-630-6000
Firm location: Chicago, IL, 60603-1008

Employment history (3)

From the source registration record · current first

Northern Trust Securities, Inc.Current
Chicago, IL · BD capacity

Jan 24, 2025 → present
Northern Trust Investments, IncorporatedCurrent
Chicago, IL · IA capacity

Dec 3, 2024 → present
Murphy & Sylvest
IA capacity

Sep 20, 2023 → Oct 30, 2024

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 7808835 ↗ FINRA BrokerCheck record for CRD 7808835 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.