Ronald R. Macleod

NORTHERN TRUST SECURITIES

Montecito, CA 93108

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CRD#: 1029357

Professional summary

Ronald Russell Macleod, who also goes by Ronald R Macleod, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Montecito, California.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1983. Ronald has worked at 19 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ronald R Macleod

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Russell Macleod's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 13, 2024 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 1485 East Valley Rd., Montecito, CA 93108

RIA

CRD#: 7927

Montecito, CA

Past

March 6, 2023 - August 1, 2023

FIGURE SECURITIES, INC.

CRD#: 307093

SAN FRANCISCO, CA

Past

January 27, 2017 - August 4, 2017

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEWPORT BEACH, CA

Past

November 28, 2016 - January 25, 2017

DAKOY CAPITAL MARKETS LLC

CRD#: 169954

HUNTINGTON, NY

Past

February 4, 2013 - July 1, 2013

SOFI SECURITIES LLC

CRD#: 151717

SAN FRANCISCO, CA

Past

September 21, 2012 - October 21, 2014

SETON SECURITIES GROUP, INC.

CRD#: 18044

NEW YORK, NY

Past

February 10, 2012 - September 25, 2012

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

SANTA BARBARA, CA

Past

August 26, 2009 - February 17, 2010

CYPRESS CAPITAL CORPORATION

CRD#: 42618

SAN FRANCISCO, CA

Past

January 23, 2008 - December 5, 2008

NUVEEN SECURITIES, LLC

CRD#: 469

LOS ANGELES, CA

Past

April 3, 2006 - March 29, 2007

UST SECURITIES CORP.

CRD#: 13906

LOS ANGELES, CA

Past

May 14, 2003 - November 4, 2005

MBSC, LLC

CRD#: 42430

NEW YORK, NY

Past

January 26, 2001 - September 18, 2001

SOUTHCOAST INVESTMENT GROUP, INC.

CRD#: 43506

HOUSTON, TX

Past

April 30, 1996 - March 26, 1997

FIRST ASSOCIATED SECURITIES GROUP, INC.

CRD#: 20597

CHICO, CA

Past

February 22, 1994 - May 11, 1994

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

April 30, 1991 - December 31, 1991

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

December 1, 1989 - April 30, 1991

FINANCIAL WEST INVESTMENT GROUP

CRD#: 17869

Past

February 6, 1987 - December 11, 1987

PATTERSON FINANCIAL SERVICES, INC.

CRD#: 10368

Past

April 4, 1984 - March 25, 1985

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

August 16, 1983 - March 15, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

June 23, 1983 - July 27, 1983

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHERN TRUST SECURITIES, INC.

JEROME HICKEY ASSOCIATES, INC. | NORTHERN TRUST SECURITIES, INC. | NORTHERN TRUST SECURITIES, INC | NORTHERN TRUST BROKERAGE, INC.

CRD#: 7927 / SEC#: 801-80781, 8-23689

RIA

Registered Investment Advisory firm - SEC (1/2/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/10/2024)

Colorado
(1/2/2025)

Connecticut
(1/2/2025)

Florida
(1/3/2025)

Georgia
(1/3/2025)

Illinois
(12/11/2024)

Kansas
(1/3/2025)

Montana
(1/2/2025)

New York
(1/2/2025)

Texas
(1/3/2025)

Utah
(1/2/2025)

Washington
(1/2/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/9/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/4/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NORTHERN TRUST SECURITIES, INC.

JEROME HICKEY ASSOCIATES, INC. | NORTHERN TRUST SECURITIES, INC. | NORTHERN TRUST SECURITIES, INC | NORTHERN TRUST BROKERAGE, INC.

CRD#: 7927 / SEC#: 801-80781, 8-23689

RIA

Registered Investment Advisory firm - SEC (1/2/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

333 S. Wabash Avenue 34th Floor, Chicago, IL 60604

Mailing Address

333 S. Wabash Avenue, Chicago, IL 60604

Phone number

(312) 557-2000

Established

Delaware since 04/05/1979

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NORTHERN TRUST SECURITIES, INC. (7/8/2025)

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	PRESIDENT	4255568
CHERRY, JON VINCENT	DIRECTOR	4255568
ELLIS, KATHERINE THERESE	DIRECTOR	2519959
GOFORTH, STEPHANIE ECKERT	DIRECTOR	4348777
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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/21/2025	Cover Page	Report
09/25/2024	Cover Page	Report
08/23/2023	Cover Page	Report

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.

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Ronald R. Macleod

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Russell Macleod's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIGURE SECURITIES, INC.

ROTH CAPITAL PARTNERS, LLC

DAKOY CAPITAL MARKETS LLC

SOFI SECURITIES LLC

SETON SECURITIES GROUP, INC.

PLANMEMBER SECURITIES CORPORATION

CYPRESS CAPITAL CORPORATION

NUVEEN SECURITIES, LLC

UST SECURITIES CORP.

MBSC, LLC

SOUTHCOAST INVESTMENT GROUP, INC.

FIRST ASSOCIATED SECURITIES GROUP, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

FINANCIAL WEST INVESTMENT GROUP

PATTERSON FINANCIAL SERVICES, INC.

DREXEL BURNHAM LAMBERT INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

Primary Firm SEC Registration

NORTHERN TRUST SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/9/2024

SIE

Date: 8/4/2017

Series 7

Date: 6/18/1983

FINRA

Current Firm

NORTHERN TRUST SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

NORTHERN TRUST SECURITIES, INC.

TRUST BUT VERIFY

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