Douglas R. Glennon
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.
Douglas Ross Glennon was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1984. Douglas had worked at 17 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3 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
January 17, 2020 - June 6, 2023
NORTHERN TRUST SECURITIES, INC.
April 28, 2014 - January 14, 2020
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
January 6, 2014 - March 7, 2014
ASTOR INVESTMENT MANAGEMENT LLC
July 29, 2013 - April 29, 2014
NATIONAL SECURITIES CORPORATION
January 7, 2013 - July 15, 2013
ASTOR ASSET MANAGEMENT LLC
January 7, 2013 - July 15, 2013
VIRTU AMERICAS LLC
November 3, 2009 - December 18, 2012
SAXONY CAPITAL MANAGEMENT, LLC
June 23, 2009 - December 18, 2012
PATRICK CAPITAL MARKETS, LLC
March 24, 2009 - June 10, 2009
K-ONE INVESTMENT COMPANY, INC.
March 24, 2009 - June 10, 2009
K-ONE INVESTMENT COMPANY, INC.
November 9, 2007 - July 7, 2008
VOYA INVESTMENT MANAGEMENT CO. LLC
October 16, 2007 - July 7, 2008
VOYA INVESTMENTS DISTRIBUTOR, LLC
March 28, 2007 - October 22, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
October 6, 2004 - March 6, 2007
OLD MUTUAL INVESTMENT PARTNERS
November 6, 2002 - September 27, 2004
TRANSAMERICA CAPITAL, LLC
August 21, 2000 - October 28, 2002
CAPITAL BROKERAGE CORPORATION
March 25, 1986 - April 24, 2000
DELAWARE DISTRIBUTORS, L.P.
October 25, 1984 - March 21, 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
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 | 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.
