David Pazdan
David Pazdan is a registered investment advisor at Northern Trust Securities, INC, based in Barrington, IL, with 29 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,283 clients with $1.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.25% |
| $500K - $1.0M | 1.00% |
| $1.0M - $5.0M | 0.85% |
| $5M+ | 0.75% |
These fees apply to Fund Strategist Portfolio, Strategist UMA, Equity and Balanced SMA strategies. Manager fees are included in the total account fee and are subject to change without notice. Optional Tax and/or Overlay Services are assessed a fee on all assets in addition to the account asset management fee. Accounts employing both Tax Overlay Services and Impact Overlay Services will be charged only one overlay service fee. Overlay Service Fees: First $10Mil 0.10%, $10Mil - $25Mil 0.08%, Assets over $25Mil 0.05%
Fee Estimator
Location
Barrington, IL
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Northern Trust Securities, INC
Northern Trust Securities, INC.Broker
Northern Trust Securities, INC.
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Northern Trust Securities, INC
Vision Investment Services, INC.Broker
Northern Trust Securities, INC.Broker
Northern Trust Securities, INC.Broker
Metropolitan Life Insurance CompanyBroker
Metlife Securities INC.Broker
Mimlic Sales CorporationBroker
The O.N. Equity Sales CompanyBroker
Metropolitan Life Insurance CompanyBroker
Metlife Securities INC.Broker
The Equitable Life Assurance Society of the United StatesBroker
Equico Securities, INC.Broker
State Registrations53 states
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