PP
Penny E. Polak
NORTHERN TRUST SECURITIES
CHICAGO, IL 60604
Some features on this profile are disabled
CRD#: 2781551
PP
Professional summary
Penny Elizabeth Polak, who also goes by Penny Elizabeth Polk, Penny Elizabeth Schartner, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.
Penny is registered as a RR (Registered Representative) and started their career in finance in 1996. Penny has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Penny Elizabeth Polk | Penny Elizabeth Schartner
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) - BD
Click below to view Penny Elizabeth Polak'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
October 6, 2010 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 333 South Wabash Avenue 34th Floor, Chicago, IL 60604RIA
BD
CRD#: 7927
CHICAGO, IL
Past
February 19, 2010 - September 28, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
GREEN BAY, WI
Past
September 19, 2007 - April 8, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
September 10, 2003 - November 4, 2005
VISION INVESTMENT SERVICES, INC.
BD
CRD#: 46609
BROOKFIELD, WI
Past
May 1, 2002 - July 16, 2003
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
Past
December 9, 2000 - May 1, 2002
HARRIS INVESTORLINE INC.
BD
CRD#: 6362
SEATTLE, WA
Past
April 15, 2000 - December 9, 2000
HARRIS INVESTORLINE
BD
CRD#: 6580
CHICAGO, IL
Past
May 19, 1998 - April 15, 2000
HARRIS INVESTORS DIRECT, INC.
BD
CRD#: 17664
CHICAGO, IL
Past
October 1, 1997 - December 3, 1997
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
COLUMBUS, OH
Past
December 18, 1996 - October 1, 1997
FMB INVESTMENT SERVICES
BD
CRD#: 28080
HOLLAND, MI
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.
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(10/27/2010)
RR
Alaska(10/27/2010)
RR
Arizona(10/27/2010)
RR
Arkansas(10/27/2010)
RR
California(10/27/2010)
RR
Colorado(10/27/2010)
RR
Connecticut(10/27/2010)
RR
Delaware(10/27/2010)
RR
District of Columbia(10/27/2010)
RR
Florida(10/27/2010)
RR
Georgia(10/27/2010)
RR
Hawaii(10/27/2010)
RR
Idaho(10/27/2010)
RR
Illinois(10/6/2010)
RR
Indiana(10/27/2010)
RR
Iowa(10/27/2010)
RR
Kansas(10/27/2010)
RR
Kentucky(10/27/2010)
RR
Louisiana(10/27/2010)
RR
Maine(10/27/2010)
RR
Maryland(10/27/2010)
RR
Massachusetts(10/27/2010)
RR
Michigan(10/27/2010)
RR
Minnesota(10/27/2010)
RR
Mississippi(10/27/2010)
RR
Missouri(10/27/2010)
RR
Montana(10/27/2010)
RR
Nebraska(10/27/2010)
RR
Nevada(10/27/2010)
RR
New Hampshire(10/27/2010)
RR
New Jersey(10/27/2010)
RR
New Mexico(10/27/2010)
RR
New York(10/27/2010)
RR
North Carolina(10/27/2010)
RR
North Dakota(10/27/2010)
RR
Ohio(10/28/2010)
RR
Oklahoma(10/27/2010)
RR
Oregon(10/27/2010)
RR
Pennsylvania(10/27/2010)
RR
Puerto Rico(4/4/2016)
RR
Rhode Island(10/27/2010)
RR
South Carolina(10/27/2010)
RR
South Dakota(10/27/2010)
RR
Tennessee(10/27/2010)
RR
Texas(10/27/2010)
RR
Utah(10/27/2010)
RR
Vermont(10/27/2010)
RR
Virgin Islands(1/22/2023)
RR
Virginia(10/27/2010)
RR
Washington(10/27/2010)
RR
West Virginia(10/27/2010)
RR
Wisconsin(10/27/2010)
RR
Wyoming(10/27/2010)
Exams
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.
