Barbara Luis
Professional Summary
Barbara Luis is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Key Biscayne, Florida. Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Barbara has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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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 |
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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.
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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
(2/17/2021)
(11/23/1999)
(7/20/2000)
(11/6/2014)
(1/15/2015)
(8/25/2015)
(11/22/1999)
(4/29/2015)
(1/21/2011)
(7/24/2015)
(11/23/1999)
(8/25/2015)
(10/7/2013)
(4/6/2016)
(11/18/2024)
(9/24/2013)
(9/17/2014)
(9/2/2021)
(8/25/2015)
(9/17/2014)
(1/16/2025)
(11/11/2021)
(9/17/2014)
(6/21/2000)
(8/25/2015)
(11/23/1999)
(9/17/2014)
(9/17/2014)
(4/21/2017)
(9/17/2014)
(3/5/2021)
(9/17/2014)
(9/24/2018)
(1/29/2001)
(9/17/2014)
(10/5/2018)
(6/30/2017)
(1/20/2011)
(11/5/2024)
(11/18/2015)
(5/1/2014)
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.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Barbara Luis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barbara Luis's CRS (Customer Relationship Summary).
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