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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

RICHARD CHARLES PETERSON

Advisor at NORTHERN TRUST SECURITIES, INC

Chicago, IL | FT. LAUDERDALE, FL | BOCA RATON, FL

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Search this name across graphsid dfx:ria:00718881-711d-efec-ea50-b9ecb5a0ad9b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 12, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHERN TRUST SECURITIES, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 21, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Apr 21, 1987
First registration: Jun 12, 2002
Dual registered: yes, broker-dealer
Other names: RICK PETERSON
IAPD individual key: 1629373

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHERN TRUST SECURITIES, INC	Bd affiliated wealth	Feb 19, 2015	n/a	yes	BOCA RATON, FL\|FT. LAUDERDALE, FL\|Chicago, IL	Current employment
NORTHERN TRUST SECURITIES, INC	Bd affiliated wealth	Mar 12, 2008	Dec 31, 2009	no	BOCA RATON, FL\|MIAMI, FL\|MIAMI, FL\|CORAL GABLES, FL\|KEY BISCAYNE, FL\|FT. LAUDERDALE, FL\|Tampa, FL\|AVENTURA, FL\|NORTH PALM BEACH, FL\|DELRAY BEACH, FL\|FT. LAUDERDALE, FL\|WEST PALM BEACH, FL\|WESTON, FL\|NAPLES, FL\|VERO BEACH, FL\|BRADENTON, FL\|SARASOTA, FL\|NAPLES, FL\|BONITA SPRINGS, FL\|WILMINGTON, DE\|MIAMI, FL\|NEW YORK, NY\|FT. MYERS, FL	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Dec 2, 2004	Feb 14, 2008	no	OAKTON, VA\|WASHINGTON, DC\|POTOMAC, MD\|VIENNA, VA\|BETHESDA, MD\|WASHINGTON, DC\|CLINTON, MD\|ALEXANDRIA, VA\|FALLS CHURCH, VA\|WASHINGTON, DC\|WASHINGTON, DC\|FAIRFAX, VA\|WASHINGTON, DC\|MCLEAN, VA\|WASHINGTON, DC\|DULLES, VA\|WASHINGTON, DC\|HERNDON, VA\|WASHINGTON, DC\|ROCKVILLE, MD\|WASHINGTON, DC\|WASHINGTON, DC\|ARLINGTON, VA\|STERLING, VA\|WASHINGTON, DC\|BETHESDA, MD\|OXON HILL, MD\|WASHINGTON, DC\|ARLINGTON, VA\|WASHINGTON, DC\|BURKE, VA\|WASHINGTON, DC\|FAIRFAX, VA\|WASHINGTON, DC\|ALEXANDIA, VA\|SILVER SPRINGS, MD\|ARLINGTON, VA\|ALEXANDRIA, VA\|WOODBRIDGE, VA\|FAIRFAX, VA\|GREENBELT, MD\|BELTSVILLE, MD\|WASHINGTON, DC\|WASHINGTON, DC\|WASHINGTON, DC\|WASHINGTON, DC\|WASHINGTON, DC\|WASHINGTON, DC\|WASHINGTON, DC\|WASHINGTON, DC\|WASHINGTON, DC\|WASHINGTON, DC\|WASHINGTON, DC\|WASHINGTON, DC\|WASHINGTON, DC\|WASHINGTON, DC\|Laurel, MD	Previous registration
COLONIAL ASSET MANAGEMENT INC	n/a	Jan 15, 2004	Sep 17, 2004	no	MONTGOMERY, AL	Previous registration
BBVA COMPASS INVESTMENT SOLUTIONS, INC	n/a	Jun 12, 2002	Aug 9, 2002	no	BIRMINGHAM, AL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PNC WEALTH MANAGEMENT	NORTHERN TRUST SECURITIES, INC	Feb 14, 2008	Mar 12, 2008	27	Firm change	Other
COLONIAL ASSET MANAGEMENT INC	PNC WEALTH MANAGEMENT	Sep 17, 2004	Dec 2, 2004	76	Firm change	Other
BBVA COMPASS INVESTMENT SOLUTIONS, INC	COLONIAL ASSET MANAGEMENT INC	Aug 9, 2002	Jan 15, 2004	524	Firm change after gap	Other

Relationships

Registered with (4)

→ NORTHERN TRUST SECURITIES, INCRegistered adviserregistration: previous registration
Mar 12, 2008 to Dec 31, 2009factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Dec 2, 2004 to Feb 14, 2008factForm ADV
→ COLONIAL ASSET MANAGEMENT INCRegistered adviserregistration: previous registration
Jan 15, 2004 to Sep 17, 2004factForm ADV
→ BBVA COMPASS INVESTMENT SOLUTIONS, INCRegistered adviserregistration: previous registration
Jun 12, 2002 to Aug 9, 2002factForm ADV

Dated events

No dated event names this entity yet.