# NORTHERN TRUST SECURITIES, INC.

NORTHERN TRUST SECURITIES, INC. of CHICAGO, IL is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 7927
- Type: SEC-registered investment adviser
- SEC file number: 801-80781
- Location: 333 S. WABASH AVENUE, 34TH FLOOR, CHICAGO, IL, 60604
- Phone: 312-630-6000
- Latest filing: 2026-07-17
- Regulatory AUM: $1.7B
- Discretionary AUM: $1.7B
- Clients: 385
- Accounts: 2,605

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Charities

## Officers, owners & control persons (61)

_Showing 25 of 61 people._

| Name | Role | Location |
| --- | --- | --- |
| David Charles Blowers | DIRECTOR | — |
| Katherine Therese Ellis | DIRECTOR | — |
| Mitchell Blair Thornton | DIRECTOR; PRESIDENT | — |
| Jon Vincent Cherry | DIRECTOR; PRESIDENT | — |
| Ryan Douglas Burns | DIRECTOR | — |
| Craig Richard Carberry | CHIEF LEGAL OFFICER & SECRETARY; SECRETARY | — |
| Kristin Anne Missil | CHIEF FINANCIAL OFFICER | — |
| Melanie Zairis Pickett | DIRECTOR | — |
| Stephanie Eckert Goforth | DIRECTOR | — |
| Sunitha Cherion Thomas | DIRECTOR | — |
| Anthony Joseph Peccatiello | CHIEF FINANCIAL OFFICER; CHIEF OPERATIONS OFFICER | — |
| Amanda Tawney Williams | CHIEF COMPLIANCE OFFICER | — |
| Debra Ann Griewahn | CHIEF COMPLIANCE OFFICER | — |
| WENNLUND LLOYD ARNO | CEO & DIRECTOR | — |
| RINGO WESLEY LEE | CHIEF COMPLIANCE OFFICER | — |
| TOTH TERENCE JOHN | DIRECTOR | — |
| REGAN DOUGLAS PATRICK | DIRECTOR | — |
| BARTLER PATRICIA | DIRECTOR | — |
| VARDAS MICHAEL ANGELO JR | DIRECTOR; PRESIDENT AND DIRECTOR | — |
| SALATA TIMOTHY JOHN | CFO | — |
| LOGAN LYLE | DIRECTOR | — |
| MACLELLAN JOHN STEPHEN | DIRECTOR | — |
| WILLIAMS GRAHAM PATRICK | DIRECTOR | — |
| MAIRS DEBRA ANN | CHIEF COMPLIANCE OFFICER | — |
| MONAHAN BRIAN EDWARD | CFO | — |


## Disclosures (24)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-03-17 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT ITS COMMISSIONS TO TRACE FOR CERTAIN TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES, AGENCY DEBT SECURITIES, SECURITIZED PRODUCTS, AND U.S. TREASURY SECURITI… | Final | $150K |
| 2019-09-30 | regulatory | THE NORTHERN TRUST COMPANY ("NORTHERN TRUST"), ACTING IN ITS CAPACITY AS A SWAP DEALER, WAS ORDERED TO PAY A $999,000 FINE BY THE NATIONAL FUTURES ASSOCIATION ("NFA"). THE DECISION BY THE NFA'S BUSINESS CONDUCT COMMITTEE ("BCC") WAS BASED ON A COMPLAINT AND A SETTLEMENT OFFER SUBMITTED BY NORTHERN T… | Final | $999K |
| 2019-09-30 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS OF THE COMMODITY FUTURES TRADING COMMISSION ('CFTC'0, THE NORTHERN TRUST COMPANY ('TNTC"0 CONSENTED TO ENTRY OF AN ORDER FINDING THAT FROM 2013 THROUGH AT LEAST 2018 TNTC FAILED TO REPORT CERTAIN SWAPS TO A SWAP DATA REPOSITORY CONSISTENT WITH… | Final | $1.0M |
| 2015-06-18 | regulatory | THE SEC ALLEGED THAT THE MUNICIPAL SECURITIES DEALERS CONDUCTED INADEQUATE DUE DILIGENCE EFFORTS IN THE ISSUANCE OF SECURITIES BY CERTAIN MUNICIPAL ISSUERS, AND THEREFORE VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933. | Final | $60K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/7927/brochure
- Similar advisers: https://search.stillhousedata.com/firm/7927/similar
- Related entities: https://search.stillhousedata.com/firm/7927/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/7927

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.