Kathleen V. Scherer
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.
Kathleen Veronica Scherer, who also goes by Kathleen V Oregan, Kathleen Veronica Oregan, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1987. Kathleen had worked at 6 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7 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
September 20, 2012 - May 5, 2022
NORTHERN TRUST SECURITIES, INC.
September 8, 2011 - June 13, 2012
NORTHERN TRUST SECURITIES, INC.
September 11, 2009 - June 7, 2011
NORTHERN TRUST SECURITIES, INC.
April 29, 2009 - July 10, 2009
NORTHERN TRUST SECURITIES, INC.
September 9, 2008 - March 17, 2009
NORTHERN TRUST SECURITIES, INC.
July 11, 2005 - October 5, 2006
VALIC FINANCIAL ADVISORS, INC.
May 20, 2005 - October 5, 2006
VALIC FINANCIAL ADVISORS, INC.
January 8, 2004 - February 2, 2004
LASALLE FINANCIAL SERVICES, INC.
April 1, 1998 - January 8, 2004
LASALLE FINANCIAL SERVICES, INC.
October 29, 1993 - April 1, 1998
ALLSTATE FINANCIAL SERVICES, LLC
April 22, 1993 - November 9, 1993
LASALLE FINANCIAL SERVICES, INC.
March 27, 1990 - March 30, 1993
INVEST FINANCIAL CORPORATION
April 29, 1987 - March 26, 1990
PRUDENTIAL EQUITY GROUP, LLC
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.
