KT
Kenneth R. Tapia
NORTHERN TRUST SECURITIES
CHICAGO, IL 60604
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CRD#: 2260049
KT
Professional summary
Kenneth Ronald Tapia is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1993. Kenneth has worked at 5 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Ronald Tapia'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
August 18, 2017 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 333 South Wabash Avenue 34th Floor, Chicago, IL 60604RIA
BD
CRD#: 7927
CHICAGO, IL
Past
November 4, 2015 - June 13, 2017
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
CHICAGO, IL
Past
December 11, 2000 - March 10, 2017
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
CHICAGO, IL
Past
July 6, 2000 - June 25, 2004
FIRST OPTIONS OF CHICAGO, INC.
BD
CRD#: 13822
CHICAGO, IL
Past
June 23, 1994 - September 24, 1998
FIRST OPTIONS OF CHICAGO, INC.
BD
CRD#: 13822
CHICAGO, IL
Past
November 12, 1993 - May 10, 1994
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, NJ
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.
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(8/7/2019)
RR
Alaska(8/7/2019)
RR
Arizona(8/7/2019)
RR
Arkansas(8/7/2019)
RR
California(8/7/2019)
RR
Colorado(8/7/2019)
RR
Connecticut(8/7/2019)
RR
Delaware(8/7/2019)
RR
District of Columbia(8/7/2019)
RR
Florida(8/7/2019)
RR
Georgia(8/7/2019)
RR
Hawaii(8/7/2019)
RR
Idaho(8/7/2019)
RR
Illinois(8/18/2017)
RR
Indiana(8/7/2019)
RR
Iowa(8/7/2019)
RR
Kansas(8/7/2019)
RR
Kentucky(8/7/2019)
RR
Louisiana(8/7/2019)
RR
Maine(8/7/2019)
RR
Maryland(8/7/2019)
RR
Massachusetts(8/7/2019)
RR
Michigan(8/7/2019)
RR
Minnesota(8/7/2019)
RR
Mississippi(8/7/2019)
RR
Missouri(8/7/2019)
RR
Montana(8/7/2019)
RR
Nebraska(8/7/2019)
RR
Nevada(8/7/2019)
RR
New Hampshire(8/7/2019)
RR
New Jersey(8/7/2019)
RR
New Mexico(8/7/2019)
RR
New York(8/7/2019)
RR
North Carolina(8/7/2019)
RR
North Dakota(8/7/2019)
RR
Ohio(8/7/2019)
RR
Oklahoma(8/7/2019)
RR
Oregon(8/7/2019)
RR
Pennsylvania(8/7/2019)
RR
Rhode Island(8/7/2019)
RR
South Carolina(8/7/2019)
RR
South Dakota(8/7/2019)
RR
Tennessee(8/7/2019)
RR
Texas(8/7/2019)
RR
Utah(8/7/2019)
RR
Vermont(8/7/2019)
RR
Virginia(8/7/2019)
RR
Washington(8/7/2019)
RR
West Virginia(8/7/2019)
RR
Wisconsin(8/7/2019)
RR
Wyoming(8/7/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 4/12/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/30/2002
Limited Representative-Equity Trader ExamGeneral Industry/Product 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.
