John S. Hantak
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Sommese Hantak was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2014 - April 24, 2019
NORTHERN TRUST SECURITIES, INC.
March 18, 2013 - April 10, 2014
ROBERT W. BAIRD & CO. INCORPORATED
March 18, 2013 - April 10, 2014
ROBERT W. BAIRD & CO. INCORPORATED
November 5, 2009 - April 1, 2013
UBS FINANCIAL SERVICES INC.
November 5, 2009 - April 1, 2013
UBS FINANCIAL SERVICES INC.
June 1, 2009 - December 1, 2009
MORGAN STANLEY
June 1, 2009 - December 1, 2009
MORGAN STANLEY
June 9, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 1, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 1, 2003 - March 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 7, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 23, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 22, 1995 - March 22, 2001
PRUCO SECURITIES, LLC.
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
Exams
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.
