Joseph E. Moorhead
NORTHERN TRUST SECURITIES
Oakbrook Terrace, IL 60181
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CRD#: 2732780
Professional summary
Joseph Edward Moorhead, CFP®, CIMA® is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Oakbrook Terrace, Illinois.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Joseph has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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 Joseph Edward Moorhead's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Edward Moorhead'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®
CFP®
Start date: 2010
Experience
Current
May 18, 2018 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: One Tower Lane 24th Floor, Oakbrook Terrace, IL 60181Office #2: 50 South Lasalle, Chicago, IL 60603Office #3: 62 Green Bay Road, Winnetka, IL 60093RIA
BD
CRD#: 7927
Oakbrook Terrace, IL
Current
May 1, 2018 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: One Tower Lane 24th Floor, Oakbrook Terrace, IL 60181Office #2: 50 South Lasalle, Chicago, IL 60603Office #3: 62 Green Bay Road, Winnetka, IL 60093RIA
BD
CRD#: 7927
Oakbrook Terrace, IL
Past
January 3, 2017 - January 30, 2018
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
August 29, 2012 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
BD
CRD#: 36130
CHICAGO, IL
Past
February 4, 2008 - August 29, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
CHICAGO, IL
Past
February 4, 2008 - August 29, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHICAGO, IL
Past
March 10, 2006 - October 18, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CHICAGO, IL
Past
December 21, 2005 - October 18, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHICAGO, IL
Past
June 28, 1996 - December 16, 2005
PFS INVESTMENTS INC.
BD
CRD#: 10111
CHICAGO, IL
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".
NORTHERN TRUST SECURITIES, INC.
JEROME HICKEY ASSOCIATES, INC. | NORTHERN TRUST SECURITIES, INC. | NORTHERN TRUST SECURITIES, INC | NORTHERN TRUST BROKERAGE, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
RIA
Registered Investment Advisory firm - SEC (1/2/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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(8/31/2018)
RR
Alaska(8/31/2018)
RR
Arizona(5/23/2018)
RR
Arkansas(5/23/2018)
RR
California(5/23/2018)
RR
Colorado(5/23/2018)
RR
Connecticut(5/23/2018)
RR
Delaware(8/31/2018)
RR
District of Columbia(8/31/2018)
RR
Florida(5/23/2018)
RR
Georgia(8/31/2018)
RR
Hawaii(8/31/2018)
RR
Idaho(8/31/2018)
RR
Illinois(5/1/2018)
IAR
Illinois(5/18/2018)
RR
Indiana(5/23/2018)
RR
Iowa(5/23/2018)
RR
Kansas(8/31/2018)
RR
Kentucky(8/31/2018)
RR
Louisiana(5/23/2018)
RR
Maine(5/23/2018)
RR
Maryland(8/31/2018)
RR
Massachusetts(6/19/2018)
RR
Michigan(5/23/2018)
RR
Minnesota(8/31/2018)
RR
Mississippi(8/31/2018)
RR
Missouri(5/23/2018)
RR
Montana(8/31/2018)
RR
Nebraska(8/31/2018)
RR
Nevada(8/31/2018)
RR
New Hampshire(5/23/2018)
RR
New Jersey(8/31/2018)
RR
New Mexico(8/31/2018)
RR
New York(5/23/2018)
RR
North Carolina(9/4/2018)
RR
North Dakota(8/31/2018)
RR
Ohio(5/23/2018)
RR
Oklahoma(8/31/2018)
RR
Oregon(5/23/2018)
RR
Pennsylvania(8/31/2018)
RR
Rhode Island(8/31/2018)
RR
South Carolina(8/31/2018)
RR
South Dakota(8/31/2018)
RR
Tennessee(8/30/2018)
RR
Texas(5/23/2018)
RR
Utah(8/31/2018)
RR
Vermont(8/31/2018)
RR
Virginia(5/23/2018)
RR
Washington(5/23/2018)
RR
West Virginia(8/31/2018)
RR
Wisconsin(8/31/2018)
RR
Wyoming(8/31/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NORTHERN TRUST SECURITIES, INC.
JEROME HICKEY ASSOCIATES, INC. | NORTHERN TRUST SECURITIES, INC. | NORTHERN TRUST SECURITIES, INC | NORTHERN TRUST BROKERAGE, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
RIA
Registered Investment Advisory firm - SEC (1/2/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
333 S. Wabash Avenue 34th Floor, Chicago, IL 60604
Mailing Address
333 S. Wabash Avenue, Chicago, IL 60604
Phone number
(312) 557-2000
Established
Delaware since 04/05/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
76
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.
