Gerald M. Birch
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.
Gerald Michael Richard Birch, who also goes by Ged Birch, Gerald Michard Richard Birch, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1984. Gerald had worked at 13 firms and has passed the Series 63, SIE, Series 87, Series 7, Series 15, Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2016 - October 2, 2019
NORTHERN TRUST SECURITIES, INC.
October 19, 2010 - May 3, 2016
AVIATE GLOBAL (US) LLP
March 24, 2010 - June 14, 2010
MAINFIRST SECURITIES US INC.
January 1, 2008 - March 3, 2008
KEPLER CAPITAL MARKETS, INC.
June 27, 2006 - July 5, 2007
PORTIGON SECURITIES INC.
January 2, 2003 - August 31, 2005
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
September 14, 1999 - January 2, 2003
HSBC SECURITIES (USA) INC.
August 24, 1999 - September 14, 1999
CREDIT AGRICOLE SECURITIES (USA) INC.
June 14, 1999 - January 10, 2000
DEUTSCHE BANK SECURITIES INC.
June 18, 1998 - June 14, 1999
DB ALEX. BROWN LLC
December 17, 1996 - July 15, 1997
COMMERZ MARKETS LLC
January 29, 1992 - December 17, 1996
KLEINWORT BENSON NORTH AMERICA INC.
December 5, 1984 - July 8, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 15
Date: 12/20/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/18/1984
Interest Rate Options ExaminationCurrent 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 | 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.
