RP
Richard C. Peterson
NORTHERN TRUST SECURITIES
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 1629373
RP
Professional summary
Richard Charles Peterson, who also goes by Rick Peterson, is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Boca Raton, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Richard has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4, Series 53, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Peterson
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) - RIA
Click below to view Richard Charles Peterson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Charles Peterson'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
February 19, 2015 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 3100 North Military Trail, Boca Raton, FL 33431Office #2: 1100 E Las Olas Blvd, Ft. Lauderdale, FL 33301RIA
BD
CRD#: 7927
Boca Raton, FL
Current
April 2, 2012 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 3100 North Military Trail, Boca Raton, FL 33431Office #2: 1100 E Las Olas Blvd, Ft. Lauderdale, FL 33301RIA
BD
CRD#: 7927
Boca Raton, FL
Past
March 12, 2008 - December 31, 2009
NORTHERN TRUST SECURITIES, INC.
RIA
CRD#: 7927
MIAMI, FL
Past
February 14, 2008 - March 13, 2012
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
MIAMI, FL
Past
December 2, 2004 - February 14, 2008
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
WASHINGTON, DC
Past
December 2, 2004 - February 14, 2008
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WASHINGTON, DC
Past
January 15, 2004 - September 17, 2004
COLONIAL ASSET MANAGEMENT INC
RIA
CRD#: 108950
MONTGOMERY, AL
Past
January 30, 2003 - September 7, 2004
COLONIAL BROKERAGE, INC.
BD
CRD#: 111668
MONTGOMERY, AL
Past
June 12, 2002 - August 9, 2002
BBVA COMPASS INVESTMENT SOLUTIONS, INC
RIA
CRD#: 17086
BIRMINGHAM, AL
Past
February 13, 1996 - September 11, 2002
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
BIRMINGHAM, AL
Past
March 15, 1994 - February 26, 1996
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
January 3, 1992 - March 16, 1994
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
BD
CRD#: 17529
FARMINGTON HILLS, MI
Past
August 1, 1991 - January 3, 1992
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
January 4, 1989 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
BD
CRD#: 11028
Past
March 25, 1987 - January 10, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(4/2/2012)
RR
Alaska(4/10/2025)
RR
Arizona(11/12/2013)
RR
California(4/2/2012)
RR
Colorado(5/10/2013)
RR
Connecticut(4/2/2012)
RR
Delaware(3/7/2016)
RR
District of Columbia(4/2/2012)
RR
Florida(4/2/2012)
IAR
Florida(2/19/2015)
RR
Georgia(4/2/2012)
RR
Hawaii(2/2/2022)
RR
Illinois(4/2/2012)
RR
Indiana(5/2/2013)
RR
Kansas(4/2/2012)
RR
Kentucky(5/10/2013)
RR
Louisiana(1/23/2013)
RR
Maine(4/2/2012)
RR
Maryland(4/2/2012)
RR
Massachusetts(4/2/2012)
RR
Michigan(4/2/2012)
RR
Minnesota(9/6/2017)
RR
Mississippi(12/19/2016)
RR
Missouri(4/19/2022)
RR
Montana(5/10/2013)
RR
Nebraska(9/24/2020)
RR
Nevada(1/2/2025)
RR
New Hampshire(4/2/2012)
RR
New Jersey(4/2/2012)
RR
New Mexico(4/2/2012)
RR
New York(4/2/2012)
RR
North Carolina(4/2/2012)
RR
Ohio(4/2/2012)
RR
Oregon(12/22/2020)
RR
Pennsylvania(5/10/2013)
RR
Puerto Rico(10/3/2024)
RR
Rhode Island(8/15/2013)
RR
South Carolina(4/2/2012)
RR
Tennessee(4/2/2012)
RR
Texas(4/2/2012)
RR
Utah(5/10/2013)
RR
Vermont(3/14/2017)
RR
Virgin Islands(4/1/2019)
RR
Virginia(4/2/2012)
RR
Washington(4/2/2012)
RR
West Virginia(4/2/2012)
RR
Wisconsin(1/23/2013)
RR
Wyoming(1/30/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927Boca Raton, FL 33431TRUST BUT VERIFY
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Contact information
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