Annette G. Musa

NORTHERN TRUST SECURITIES

Phoenix, AZ

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CRD#: 1076657

Professional summary

Annette Guerra Musa, who also goes by Annette S Guerra, Annette Suzanne Guerra, Annette Guerra Musa, Annette Musa, Annette G Musa, is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Phoenix, Arizona.

Annette is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Annette has worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Annette S Guerra | Annette Suzanne Guerra | Annette Guerra Musa | Annette Musa | Annette G Musa

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) - RIA

Click below to view Annette Guerra Musa's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Annette Guerra Musa'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

April 16, 2026 - Present

NORTHERN TRUST SECURITIES, INC.

Office #2: 2398 E. Camelback Road, Phoenix, AZ 85016

RIA

CRD#: 7927

Phoenix, AZ

Current

April 9, 2026 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 2398 E. Camelback Road, Phoenix, AZ 85016

RIA

CRD#: 7927

Phoenix, AZ

Past

December 20, 2017 - April 6, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SCOTTSDALE, AZ

Past

December 20, 2017 - April 6, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SCOTTSDALE, AZ

Past

February 16, 2006 - September 12, 2017

COMERICA SECURITIES

RIA

CRD#: 17079

PHOENIX, AZ

Past

February 16, 2006 - September 12, 2017

COMERICA SECURITIES

CRD#: 17079

PHOENIX, AZ

Past

November 1, 2002 - February 9, 2006

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

SCOTTSDALE, AZ

Past

June 20, 2002 - February 9, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

March 16, 2001 - May 16, 2002

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

December 13, 2000 - May 16, 2002

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

November 5, 1999 - December 13, 2000

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

May 19, 1997 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

October 18, 1996 - May 22, 1997

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 30, 1992 - October 28, 1996

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

January 18, 1991 - June 30, 1992

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

March 3, 1988 - January 11, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 22, 1987 - March 7, 1988

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

Past

July 27, 1984 - September 21, 1987

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

Past

June 20, 1984 - July 24, 1984

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(4/9/2026)

IAR

Arizona
(4/16/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/27/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/28/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 6/17/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

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	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

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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Advisor Monitoring

Firm Stability Insights

Annette G. Musa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Annette Guerra Musa's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Annette Guerra Musa's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN TRUST SECURITIES, INC.

NORTHERN TRUST SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

COMERICA SECURITIES

COMERICA SECURITIES

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

BA INVESTMENT SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

UBS FINANCIAL SERVICES INC.

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

NORTHERN TRUST SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/1998

Series 63

Date: 6/29/1984

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

Series 24

Date: 9/28/1999

Series 8

Date: 6/17/1986

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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