Kenneth Guttentag
Kenneth Guttentag is a registered investment advisor at Northern Trust Securities, INC, based in Chicago, IL, with 29 years of industry experience. Kenneth 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.
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% |
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
Location
Chicago, IL
Get directionsHistory
Regulatory History (2)
Customer Dispute
March 2008Customer Dispute
December 2002Employment History
Current Registrations
Northern Trust Securities, INC
Northern Trust Securities, INC.Broker
Northern Trust Securities, INC.
Previous Registrations
Northern Trust Securities, INC
Vision Investment Services, INC.Broker
TD Waterhouse Investor Services, INC.Broker
State Registrations51 states
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
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