Lacy D. Chavis
Professional summary
Lacy Dean Chavis, CFP®, CPWA®, who also goes by Dean Chavis, L Dean Chavis, L. Dean Chavis, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Bonita Springs, Florida.
Lacy is registered as a RR (Registered Representative) and started their career in finance in 1995. Lacy has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lacy Dean Chavis's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1989
Start date: 2012-04-06
Expire date: 2024-03-31
Experience
July 17, 2006 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 26790 S. Tamiami Trail, Bonita Springs, FL 34134Office #2: 7960 Summerlin Lakes Drive, Ft. Myers, FL 33907Office #3: 4001 Tamiami Trail North, Naples, FL 34103July 25, 2006 - December 31, 2009
NORTHERN TRUST SECURITIES, INC.
April 1, 2005 - June 22, 2006
FIFTH THIRD SECURITIES, INC.
February 25, 2005 - June 22, 2006
FIFTH THIRD SECURITIES, INC.
November 14, 2003 - February 28, 2005
INVEST FINANCIAL CORPORATION
September 11, 2003 - February 28, 2005
INVEST FINANCIAL CORPORATION
December 5, 2001 - November 29, 2002
BNY MELLON SECURITIES LLC
November 1, 2001 - December 5, 2001
CONSECO SECURITIES, INC.
February 3, 1995 - January 3, 1996
FIRST UNION BROKERAGE SERVICES, INC.
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
(7/25/2006)
(7/13/2007)
(11/8/2006)
(1/27/2022)
(11/15/2024)
(7/17/2024)
(10/15/2014)
(5/7/2012)
(9/15/2009)
(1/22/2019)
(1/18/2019)
(11/14/2024)
(6/20/2016)
(11/3/2021)
(5/14/2018)
Exams
FINRA
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.
