LV
Lance D. Vegna
NORTHERN TRUST INVESTMENTS
New York, NY 10022
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CRD#: 2492572
LV
Professional summary
Lance Douglas Vegna is a registered financial advisor currently at NORTHERN TRUST INVESTMENTS, INCORPORATED located in New York, New York and NORTHERN TRUST SECURITIES, INC. located in New York, New York.
Lance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Lance has worked at 8 firms and has passed the Series 66, Series 63, Series 3, Series 57TO, SIE, Series 55, Series 7 and Series 24 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.
CRS (Client Relationship Summary) - RIA
Click below to view Lance Douglas Vegna'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
January 13, 2025 - Present
NORTHERN TRUST INVESTMENTS, INCORPORATED
Office #1: 390 Park Avenue Lever House 2nd Floor, New York, NY 10022RIA
CRD#: 105780
New York, NY
Current
November 6, 2024 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 390 Park Avenue Lever House 2nd Floor, New York, NY, 10022RIA
BD
CRD#: 7927
New York, NY
Past
March 20, 2017 - September 30, 2022
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
August 19, 2013 - March 24, 2017
MACQUARIE CAPITAL (USA) INC.
BD
CRD#: 36368
NEW YORK, NY
Past
July 9, 2001 - August 19, 2013
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
April 13, 1998 - July 13, 2001
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NEW YORK, NY
Past
July 18, 1995 - February 9, 1998
BNY BROKERAGE, INC.
BD
CRD#: 17481
NEW YORK, NY
Past
July 7, 1994 - April 17, 1995
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
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".
NT
NORTHERN TRUST INVESTMENTS, INCORPORATED
NORTHERN TRUST INVESTMENTS INC. | NTI, INC. | NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. | NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
RIA
Registered Investment Advisory firm - (11/25/1988 Approved)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(1/13/2025)
RR
Alaska(1/16/2025)
RR
Arizona(1/17/2025)
RR
Arkansas(1/14/2025)
RR
California(1/13/2025)
RR
Colorado(1/14/2025)
RR
Connecticut(1/13/2025)
RR
Delaware(1/27/2025)
RR
District of Columbia(1/15/2025)
RR
Florida(1/13/2025)
RR
Georgia(1/14/2025)
RR
Hawaii(1/14/2025)
RR
Idaho(1/16/2025)
RR
Illinois(1/15/2025)
RR
Indiana(1/14/2025)
RR
Iowa(1/23/2025)
RR
Kansas(1/13/2025)
RR
Kentucky(1/13/2025)
RR
Louisiana(1/14/2025)
RR
Maine(1/13/2025)
RR
Maryland(1/14/2025)
RR
Massachusetts(1/13/2025)
RR
Michigan(1/13/2025)
RR
Minnesota(1/13/2025)
RR
Mississippi(1/13/2025)
RR
Missouri(1/13/2025)
RR
Montana(1/13/2025)
RR
Nebraska(1/13/2025)
RR
Nevada(1/13/2025)
RR
New Hampshire(1/13/2025)
RR
New Jersey(1/13/2025)
RR
New Mexico(1/14/2025)
RR
New York(1/12/2025)
IAR
New York(1/13/2025)
RR
North Carolina(1/13/2025)
RR
North Dakota(1/21/2025)
RR
Ohio(1/14/2025)
RR
Oklahoma(1/13/2025)
RR
Oregon(1/17/2025)
RR
Pennsylvania(1/14/2025)
RR
Puerto Rico(2/4/2025)
RR
Rhode Island(1/14/2025)
RR
South Carolina(1/13/2025)
RR
South Dakota(1/13/2025)
RR
Tennessee(1/14/2025)
RR
Texas(1/14/2025)
RR
Utah(1/13/2025)
RR
Vermont(1/13/2025)
RR
Virginia(1/13/2025)
RR
Washington(1/13/2025)
RR
West Virginia(1/16/2025)
RR
Wisconsin(1/13/2025)
RR
Wyoming(1/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/3/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NT
NORTHERN TRUST INVESTMENTS, INCORPORATED
NORTHERN TRUST INVESTMENTS INC. | NTI, INC. | NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. | NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
RIA
Registered Investment Advisory firm - (11/25/1988 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
50 S Lasalle Street, Chicago, IL 60603-1008
Mailing Address
Phone number
(312) 630-6000
Established
Firm type
Fiscal year end
# of Employees
674
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,475 |
| AUM (Assets Under Management) | $ 1,114,770,223,733 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 09/27/2024 | ||
| 08/24/2023 |
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.
