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Annette Musa

Northern Trust Securities, INC
41 Years of Experience
Phoenix, AZ
1 DisclosureBroker
View SEC Summary
View SEC Summary

Annette Musa is a registered investment advisor at Northern Trust Securities, INC, based in Phoenix, AZ, with 41 years of industry experience. Annette is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management. Their firm serves 2,053 clients with $1.7B in assets under management.

Northern Trust Securities, INC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
127 advisors
Number of Clients
2,053 clients
Average Client Portfolio
$810K average
Assets Under Management
$1.7B

Fee Structure

Minimum Investment:$20K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K1.25%
$500K - $1.0M1.00%
$1.0M - $5.0M0.85%
$5M+0.75%

Rates apply to Fund Strategist Portfolio, Strategist UMA, and Equity and Balanced SMA strategies. Fixed Income SMA strategies have a separate schedule starting at 0.55%. Manager fees and product-level fees are in addition to these advisory fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Phoenix, AZ

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 1998
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Annette owns a Jazzercise franchise and teaches fitness classes, dedicating about 10-20% of her time to this activity. She is also a member of the board for Feeding Matters, attending one board meeting every quarter.

Employment History
Current Registrations
Northern Trust Securities, INC
April 2026 - Present · 6 mos
Northern Trust Securities, INC.
April 2026 - Present · 6 mos
Northern Trust Securities, INC.Broker
April 2026 - Present · 6 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
December 2017 - April 2026 · 8 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 2017 - April 2026 · 8 yrs 4 mos
Comerica SecuritiesBroker
February 2006 - September 2017 · 11 yrs 7 mos
Comerica Securities
February 2006 - September 2017 · 11 yrs 7 mos
Banc One Securities Corporation
November 2002 - February 2006 · 3 yrs 3 mos
Banc One Securities CorporationBroker
June 2002 - February 2006 · 3 yrs 8 mos
Wells Fargo Brokerage Services, L.L.C.Broker
March 2001 - May 2002 · 1 yr 2 mos
Wells Fargo Investments, LLCBroker
December 2000 - May 2002 · 1 yr 5 mos
Wells Fargo Brokerage Services, L.L.C.Broker
November 1999 - December 2000 · 1 yr 1 mo
Wells Fargo Securities INC.Broker
May 1997 - May 2001 · 4 yrs
Smith Barney INC.Broker
October 1996 - May 1997 · 7 mos
Ba Investment Services, INC.Broker
May 1992 - October 1996 · 4 yrs 5 mos
Gna Securities, INC.Broker
January 1991 - June 1992 · 1 yr 5 mos
Painewebber IncorporatedBroker
March 1988 - January 1991 · 2 yrs 10 mos
Fidelity Investments Institutional Services Company, INC.Broker
September 1987 - March 1988 · 6 mos
Fidelity Brokerage Services, INC.Broker
July 1984 - September 1987 · 3 yrs 2 mos
Prudential-Bache Securities INC.Broker
June 1984 - July 1984 · 1 mo
State Registrations1 state
AZ
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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