David Jerome Pazdan
Professional Summary
David Jerome Pazdan, who also goes by David Paz, is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Paz
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Years of Experience
32 years in the financial services industry
Current & Past Employments
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Current Firm
JEROME HICKEY ASSOCIATES, INC. | NORTHERN TRUST SECURITIES, INC. | NORTHERN TRUST SECURITIES, INC | NORTHERN TRUST BROKERAGE, INC.
Contact Information
Main Address
333 S. Wabash Avenue 34th Floor, Chicago, IL 60604Mailing Address
333 S. Wabash Avenue, Chicago, IL 60604Phone Number
(312) 557-2000Established
Delaware since 04/05/1979Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
385SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NORTHERN TRUST CORPORATION | SHAREHOLDER | — |
| BURNS, RYAN DOUGLAS | DIRECTOR | 7427168 |
| CARBERRY, CRAIG RICHARD | CHIEF LEGAL OFFICER & SECRETARY | 2075889 |
| CHAPPELL, DARLENE | MLRO (ANTI-MONEY LAUNDERING OFFICER) | 8158928 |
| DEVITA, DINO ANTHONY | DIRECTOR | 3022063 |
| 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 |
| THORNTON, MITCHELL BLAIR | PRESIDENT | 2515299 |
| WILLIAMS, AMANDA TAWNEY | CHIEF COMPLIANCE OFFICER | 4195897 |
Regulatory Assets Under Management
Total Number of Accounts
2,605AUM (Assets Under Management)
$1,662,427,504Disclosures
Regulatory Event
8Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2026 | Cover Page | Report |
| 08/21/2025 | Cover Page | Report |
| 09/25/2024 | Cover Page | Report |
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Primary Firm SEC Registration
JEROME HICKEY ASSOCIATES, INC. | NORTHERN TRUST SECURITIES, INC. | NORTHERN TRUST SECURITIES, INC | NORTHERN TRUST BROKERAGE, INC.
State Registrations and Notice Filings
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(1/14/2015)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(8/31/2020)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(8/31/2020)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
(5/13/2014)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1994About the Series 6 examSRO Registrations
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
CRS (Client Relationship Summary) - RIA
Click below to view David Jerome Pazdan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Jerome Pazdan's CRS (Customer Relationship Summary).
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
