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NORTHERN TRUST SECURITIES, INC., CRD 7927
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DAVID JEROME PAZDAN | n/a | Chicago, IL | Barrington, IL | 11 | 32 | 2 | yes |
| ROBERT ALAN FALATO | Certified Financial Planner | Palatine, IL | Chicago, IL | 11 | 35 | n/a | yes |
| DARREN MICHAEL ANDERSON | Certified Financial Planner | Chicago, IL | Grand Rapids, MI | 11 | 27 | n/a | yes |
| CONSTANCE S CAPCO | Certified Financial Planner | Chicago, IL | ST. PETERSBURG, FL | Largo, FL | 11 | 27 | n/a | yes |
| ADAM JUSTIN SALTZMAN | Certified Financial Planner | Chicago, IL | Skokie, IL | WINNETKA, IL | 11 | 25 | n/a | yes |
| KENNETH ROY GUTTENTAG | n/a | Chicago, IL | 11 | 29 | n/a | yes |
| JULIAN LINCOLN VAN OSTRAND | n/a | Chicago, IL | Skokie, IL | WINNETKA, IL | 11 | 20 | n/a | yes |
| CHRIS ARTHUR GALLIANO | n/a | HOUSTON, TX | Chicago, IL | Austin, TX | 11 | 25 | 3 | yes |
| JOSEPH ANDREW ANGILERI | Certified Financial Planner | Chicago, IL | Lake Zurich, IL | OAKBROOK TERRACE, IL | 11 | 18 | n/a | yes |
| STEPHEN JAMES WILEY | n/a | Chicago, IL | Venice, CA | LOS ANGELES, CA | 11 | 19 | 1 | yes |
| DAVID WOODS LEONARD | n/a | Elmhurst, IL | Chicago, IL | 11 | 29 | 1 | yes |
| ALI NEWBERRY CARMEN | n/a | ST. PETERSBURG, FL | Chicago, IL | Hammond, IN | 11 | 25 | n/a | yes |
| SHERYL MARIE NESSEL CRUZ | n/a | Chicago, IL | SARASOTA, FL | Sarasota, FL | 11 | 22 | 2 | yes |
| RICHARD CHARLES PETERSON | n/a | Chicago, IL | FT. LAUDERDALE, FL | BOCA RATON, FL | 11 | 39 | 4 | yes |
| EDWARD W YEE | n/a | Chicago, IL | ST. PETERSBURG, FL | 11 | 21 | n/a | yes |
| DAVID EARL JOHNSON | Certified Financial Planner | VERO BEACH, FL | Chicago, IL | 11 | 30 | 1 | yes |
| BRIAN EDWARD MONAHAN | n/a | Chicago, IL | Clarendon Hills, IL | 11 | 21 | n/a | yes |
| RUSSELL JOHN ANDERSEN | n/a | NAPLES, FL | Chicago, IL | BONITA SPRINGS, FL | 11 | 33 | n/a | yes |
| IVY ROMERA DAILY | n/a | Chicago, IL | CHICAGO, IL | 11 | 25 | n/a | yes |
| VINCENT W. TUNSTALL | n/a | Chicago, IL | CHICAGO, IL | 11 | 27 | 3 | yes |
| ANDERSON EDUARDO ARIZA | n/a | MIAMI, FL | Chicago, IL | Key Biscayne, FL | 11 | 23 | n/a | yes |
| NICK MEGREMIS | n/a | Des Plaines, IL | CHICAGO, IL | 11 | 23 | 1 | yes |
| BARBARA LUIS | n/a | Miami Beach, FL | MIAMI, FL | Chicago, IL | Key Biscayne, FL | 11 | 32 | n/a | yes |
| RYAN LESLIE LACHMANSINGH | n/a | Jupiter, FL | PALM BEACH, FL | Chicago, IL | NORTH PALM BEACH, FL | 11 | 25 | 3 | yes |
| THERESE DIANNE OWEN | n/a | Tempe, AZ | Gilbert, AZ | 10 | 23 | n/a | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BURNS, RYAN DOUGLAS | Director | Na | yes | 08/2021 | Jul 17, 2026 | Jul 17, 2026 |
| DEVITA, DINO ANTHONY | Director | Na | yes | 02/2026 | Jul 17, 2026 | Jul 17, 2026 |
| PICKETT, MELANIE ZAIRIS | Director | Na | yes | 06/2023 | Jul 17, 2026 | Jul 17, 2026 |
| THOMAS, SUNITHA CHERIAN | Director | Na | yes | 03/2024 | Jul 17, 2026 | Jul 17, 2026 |
| THORNTON, MITCHELL BLAIR | Director | Na | yes | 07/2014 | Jul 17, 2026 | Jul 17, 2026 |
| CHERRY, JON VINCENT | President | Na | yes | 02/2021 | Mar 12, 2021 | Dec 13, 2024 |
| GRIEWAHN, DEBRA ANN | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2006 | Dec 17, 2014 | Dec 13, 2024 |
| MISSIL, KRISTIN ANNE | CHIEF FINANCIAL OFFICER | Na | yes | 06/2023 | Jun 30, 2023 | Dec 13, 2024 |
| NORTHERN TRUST CORPORATION | Shareholder | E | yes | 04/1984 | Dec 17, 2014 | Dec 13, 2024 |
| CHAPPELL, DARLENE | MLRO (ANTI-MONEY LAUNDERING OFFICER) | Na | no | 09/2025 | Jul 17, 2026 | Jul 17, 2026 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF OPERATIONS OFFICER | Na | no | 01/2024 | Jul 17, 2026 | Jul 17, 2026 |
| WILLIAMS, AMANDA TAWNEY | CHIEF COMPLIANCE OFFICER | Na | no | 03/2025 | Jul 17, 2026 | Jul 17, 2026 |
| BLOWERS, DAVID CHARLES | Director | Na | no | 01/2018 | Feb 8, 2018 | Dec 13, 2024 |
| CARBERRY, CRAIG RICHARD | Secretary | Na | no | 10/2020 | Mar 2, 2022 | Dec 13, 2024 |
| ELLIS, KATHERINE THERESE | Director | Na | no | 11/2013 | Dec 17, 2014 | Dec 13, 2024 |
| GOFORTH, STEPHANIE ECKERT | Director | Na | no | 09/2023 | Sep 26, 2023 | Dec 13, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| NORTHERN TRUST INVESTMENTS, INCORPORATED | n/a | Asset manager | $1245B | N | yes | n/a |
| NORTHERN TRUST GLOBAL INVESTMENTS LTD | n/a | Asset manager | $208B | N | yes | n/a |
| 50 SOUTH CAPITAL ADVISORS, LLC | n/a | Asset manager | $16B | N | yes | n/a |
| NORTHERN TRUST FUND MANAGERS (IRELAND) LIMITED | n/a | n/a | n/a | N | yes | n/a |
| NORTHERN TRUST GLOBAL INVESTMENTS JAPAN, K.K. | n/a | n/a | n/a | N | yes | n/a |
| NORTHERN TRUST SECURITIES AUSTRALIA PTY LTD | n/a | n/a | n/a | N | yes | n/a |
| NORTHERN TRUST SECURITIES, LLP | n/a | n/a | n/a | N | yes | n/a |
| NT GLOBAL ADVISORS, INC. | n/a | n/a | n/a | N | yes | n/a |
| THE NORTHERN TRUST COMPANY | n/a | n/a | n/a | N | yes | n/a |
| THE NORTHERN TRUST COMPANY OF HONG KONG LIMITED | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LOS ANGELES | CA | United States | 3 | yes |
| Miami | FL | United States | 3 | yes |
| Phoenix | Az | United States | 2 | yes |
| Tucson | Az | United States | 2 | yes |
| SAN FRANCISCO | CA | United States | 2 | yes |
| BOCA RATON | FL | United States | 2 | yes |
| BONITA SPRINGS | FL | United States | 2 | yes |
| NORTH PALM BEACH | FL | United States | 2 | yes |
| VERO BEACH | FL | United States | 2 | yes |
| LAKE FOREST | IL | United States | 2 | yes |
| Winnetka | IL | United States | 2 | yes |
| Dallas | TX | United States | 2 | yes |
| Houston | TX | United States | 2 | yes |
| MENLO PARK | CA | United States | 1 | yes |
| NEWPORT BEACH | CA | United States | 1 | yes |
| Naples | FL | United States | 1 | yes |
| Sarasota | FL | United States | 1 | yes |
| Barrington | IL | United States | 1 | yes |
| OAKBROOK TERRACE | IL | United States | 1 | yes |
| Boston | Ma | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $1.7B | $1.7B | 385 | 41 | 29 | n/a | n/a |
| 2024 | Mar 31, 2025 | $1.3B | $1.3B | 76 | 62 | 24 | n/a | n/a |
| 2023 | Mar 21, 2024 | $1.0B | $1.0B | 75 | 70 | 20 | n/a | n/a |
| 2022 | Mar 22, 2023 | $830M | $830M | 72 | 58 | 18 | n/a | n/a |
| 2021 | Mar 2, 2022 | $861M | $861M | 72 | 58 | 18 | n/a | n/a |
| 2020 | Mar 12, 2021 | $620M | $620M | 68 | 56 | 17 | n/a | n/a |
| 2019 | Mar 27, 2020 | $514M | $514M | 75 | 61 | 16 | n/a | n/a |
| 2018 | Feb 7, 2019 | $381M | $381M | 88 | 64 | 18 | n/a | n/a |
| 2017 | Feb 8, 2018 | $287M | $287M | 78 | 59 | 17 | n/a | n/a |
| 2016 | Mar 29, 2017 | $118M | $118M | 77 | 65 | n/a | n/a | n/a |
| 2015 | Mar 3, 2016 | $37.4M | $37.4M | 78 | 64 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 12 | 10 | 2 | 10.3% | 4 | 2 | 0 | 30 | 17 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.7B | $1.3B | 30.2% | $830M | 26.1% | 385 | 76 | 29 | 24 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CITIGROUP GLOBAL MARKETS INC. | 2 | Jun 10, 2025 | Jul 3, 2025 | CHICAGO, IL | Team lift out | Ibd to ibd | 2.2% |