Ronald R. Macleod
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald Russell Macleod, who also goes by Ronald R Macleod, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 19 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2024 - May 8, 2026
NORTHERN TRUST SECURITIES, INC.
March 6, 2023 - August 1, 2023
FIGURE SECURITIES, INC.
January 27, 2017 - August 4, 2017
ROTH CAPITAL PARTNERS, LLC
November 28, 2016 - January 25, 2017
DAKOY CAPITAL MARKETS LLC
February 4, 2013 - July 1, 2013
SOFI SECURITIES LLC
September 21, 2012 - October 21, 2014
SETON SECURITIES GROUP, INC.
February 10, 2012 - September 25, 2012
PLANMEMBER SECURITIES CORPORATION
August 26, 2009 - February 17, 2010
CYPRESS CAPITAL CORPORATION
January 23, 2008 - December 5, 2008
NUVEEN SECURITIES, LLC
April 3, 2006 - March 29, 2007
UST SECURITIES CORP.
May 14, 2003 - November 4, 2005
MBSC, LLC
January 26, 2001 - September 18, 2001
SOUTHCOAST INVESTMENT GROUP, INC.
April 30, 1996 - March 26, 1997
FIRST ASSOCIATED SECURITIES GROUP, INC.
February 22, 1994 - May 11, 1994
FINANCIAL WEST GROUP
April 30, 1991 - December 31, 1991
FINANCIAL WEST GROUP
December 1, 1989 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
February 6, 1987 - December 11, 1987
PATTERSON FINANCIAL SERVICES, INC.
April 4, 1984 - March 25, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
August 16, 1983 - March 15, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 1983 - July 27, 1983
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
Primary Firm SEC Registration
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NORTHERN TRUST CORPORATION | SHAREHOLDER | |
| BLOWERS, DAVID CHARLES | DIRECTOR | 4377133 |
| BURNS, RYAN DOUGLAS | DIRECTOR | 7427168 |
| CARBERRY, CRAIG RICHARD | SECRETARY | 2075889 |
| CHAPPELL, DARLENE | MLRO (ANTI-MONEY LAUNDERING OFFICER) | 8158928 |
| CHERRY, JON VINCENT | DIRECTOR | 4255568 |
| CHERRY, JON VINCENT | PRESIDENT | 4255568 |
| DEVITA, DINO ANTHONY | DIRECTOR | 3022063 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF FINANCIAL OFFICER | 5716365 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF OPERATIONS OFFICER | 5716365 |
| PICKETT, MELANIE ZAIRIS | DIRECTOR | 3256748 |
| THOMAS, SUNITHA CHERIAN | DIRECTOR | 7881171 |
| THORNTON, MITCHELL BLAIR | DIRECTOR | 2515299 |
| WILLIAMS, AMANDA TAWNEY | CHIEF COMPLIANCE OFFICER | 4195897 |
Regulatory assets under management
| Total Number of Accounts | 2,283 |
| AUM (Assets Under Management) | $ 1,276,929,981 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 09/25/2024 | ||
| 08/23/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
