RC
Ronald B. Ciesla
NORTHERN TRUST SECURITIES
Naples, FL 34102
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CRD#: 1232622
RC
Professional summary
Ronald Bruce Ciesla, who also goes by Ronald B Ciesla, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Naples, Florida.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 1984. Ronald has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ronald B Ciesla
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.
CRS (Client Relationship Summary) - BD
Click below to view Ronald Bruce Ciesla's 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®
NoneExperience
Current
July 29, 2011 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 500 5th Avenue South Suite 502, Naples, FL 34102RIA
BD
CRD#: 7927
Naples, FL
Past
October 23, 2009 - January 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NAPLES, FL
Past
October 23, 2009 - January 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NAPLES, FL
Past
July 21, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
NAPLES, FL
Past
June 15, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
NAPLES, FL
Past
May 12, 2003 - February 17, 2004
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
NEW YORK, NY
Past
April 28, 2003 - February 17, 2004
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
October 11, 2001 - April 21, 2003
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
August 9, 1996 - August 10, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 26, 1984 - April 19, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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)BD
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.
RR
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
RR
Connecticut(5/16/2016)
RR
Florida(8/31/2011)
RR
Georgia(1/2/2020)
RR
Illinois(1/2/2020)
RR
Iowa(1/2/2020)
RR
Maine(6/24/2024)
RR
Massachusetts(6/24/2024)
RR
Minnesota(6/24/2024)
RR
New Jersey(1/2/2020)
RR
New York(1/2/2020)
RR
Ohio(1/3/2020)
RR
Pennsylvania(1/2/2020)
RR
Wisconsin(1/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
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)BD
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
76
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 | 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 | 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.
