John H. Smith

NORTHERN TRUST SECURITIES

CHICAGO, IL 60604

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CRD#: 1364341

Professional summary

John Haney Smith is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 John Haney Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Haney Smith'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

March 9, 2018 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 333 South Wabash Avenue 34th Floor, Chicago, IL 60604

RIA

CRD#: 7927

CHICAGO, IL

Current

May 26, 2017 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 333 South Wabash Avenue 34th Floor, Chicago, IL 60604

RIA

CRD#: 7927

CHICAGO, IL

Past

June 12, 2015 - October 20, 2015

PTR, INC.

CRD#: 31559

COLLINGSWOOD, NJ

Past

September 10, 1993 - June 15, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

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

Alabama
(5/28/2021)

Alaska
(5/28/2021)

Arizona
(5/28/2021)

Arkansas
(5/28/2021)

California
(5/28/2021)

Colorado
(5/28/2021)

Connecticut
(5/28/2021)

Delaware
(5/28/2021)

District of Columbia
(5/28/2021)

Florida
(5/28/2021)

Georgia
(5/28/2021)

Hawaii
(5/28/2021)

Idaho
(5/28/2021)

Illinois
(5/26/2017)

IAR

Illinois
(3/9/2018)

Indiana
(5/28/2021)

Iowa
(5/28/2021)

Kansas
(5/28/2021)

Kentucky
(5/28/2021)

Louisiana
(5/28/2021)

Maine
(5/28/2021)

Maryland
(5/28/2021)

Massachusetts
(5/28/2021)

Michigan
(5/28/2021)

Minnesota
(5/28/2021)

Mississippi
(5/28/2021)

Missouri
(5/28/2021)

Montana
(5/28/2021)

Nebraska
(5/28/2021)

Nevada
(5/28/2021)

New Hampshire
(5/28/2021)

New Jersey
(5/28/2021)

New Mexico
(5/28/2021)

New York
(5/28/2021)

North Carolina
(5/28/2021)

North Dakota
(5/28/2021)

Ohio
(5/28/2021)

Oklahoma
(5/28/2021)

Oregon
(5/28/2021)

Pennsylvania
(5/28/2021)

Rhode Island
(5/28/2021)

South Carolina
(5/28/2021)

South Dakota
(5/28/2021)

Tennessee
(5/28/2021)

Texas
(5/28/2021)

Utah
(5/28/2021)

Vermont
(5/28/2021)

Virginia
(5/28/2021)

Washington
(5/28/2021)

West Virginia
(5/28/2021)

Wisconsin
(5/28/2021)

Wyoming
(5/28/2021)

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 66

Date: 3/9/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/29/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/9/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/31/2018

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/10/2018

Registered Options Principal 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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Advisor Monitoring

Firm Stability Insights

John H. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Haney Smith's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Haney Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN TRUST SECURITIES, INC.

PTR, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NORTHERN TRUST SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/9/2018

Series 63

Date: 10/29/1993

SIE

Date: 10/1/2018

Series 7

Date: 9/9/1993

Series 24

Date: 12/31/2018

Series 4

Date: 9/10/2018

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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