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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

Aleese Peterson-Cotton

Advisor at NORTHERN TRUST SECURITIES, INC

Chicago, IL | San Francisco, CA | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:e467557e-8f64-1fe7-27fb-bc0b975ff3df

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 13, 2015 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: Oct 1, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66|S65
First exam: May 1, 2015
First registration: May 13, 2015
Dual registered: yes, broker-dealer
Other names: ALYCE PETERSON-COTTON
IAPD individual key: 6424806

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	Sep 4, 2025	n/a	yes	SAN FRANCISCO, CA\|San Francisco, CA\|Chicago, IL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 22, 2022	Aug 15, 2025	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|PASADENA, CA	Previous registration
ALPHAFLOW ADVISOR, LLC	n/a	Oct 30, 2018	Jun 5, 2020	no	SAN FRANCISCO, CA	Previous registration
SUMMITRY, LLC	Independent wealth	Nov 2, 2017	Jun 14, 2018	no	FOSTER CITY, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 13, 2015	Aug 8, 2017	no	SAN DIEGO, CA	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NORTHERN TRUST SECURITIES, INC	Aug 15, 2025	Sep 4, 2025	20	Firm change	Wirehouse to ibd
ALPHAFLOW ADVISOR, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 5, 2020	Jun 22, 2022	747	Firm change after gap	Other
SUMMITRY, LLC	ALPHAFLOW ADVISOR, LLC	Jun 14, 2018	Oct 30, 2018	138	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	SUMMITRY, LLC	Aug 8, 2017	Nov 2, 2017	86	Firm change	Other

Relationships

Registered with (4)

→ NORTHERN TRUST SECURITIES, INCRegistered adviserregistration: current employment
Sep 4, 2025 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 22, 2022 to Aug 15, 2025factForm ADV
→ ALPHAFLOW ADVISOR, LLCRegistered adviserregistration: previous registration
Oct 30, 2018 to Jun 5, 2020factForm ADV
→ SUMMITRY, LLCRegistered adviserregistration: previous registration
Nov 2, 2017 to Jun 14, 2018factForm ADV

Dated events

Occurred
Aug 15, 2025
Advisor changed firm
Aleese Peterson-Cotton left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Northern Trust Securities, Inc (registered 2025-09-04)
Form ADVobserved 6 days ago