JK
Justin T. Kane
NORTHERN TRUST SECURITIES
CHICAGO, IL 60604
Some features on this profile are disabled
CRD#: 2877526
JK
Professional summary
Justin T Kane, who also goes by Justin Thomas Kane, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.
Justin is registered as a RR (Registered Representative) and started their career in finance in 1997. Justin has worked at 11 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Justin Thomas Kane
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 Justin T Kane'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
July 8, 2021 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 333 South Wabash Avenue 34th Floor, Chicago, IL 60604RIA
BD
CRD#: 7927
CHICAGO, IL
Past
September 26, 2019 - August 3, 2020
REDI GLOBAL TECHNOLOGIES LLC
BD
CRD#: 41924
Chicago, IL
Past
January 30, 2019 - June 27, 2019
PENSERRA SECURITIES, LLC
BD
CRD#: 145994
CHICAGO, IL
Past
September 28, 2017 - January 14, 2019
TD AMERITRADE, INC.
BD
CRD#: 7870
Southlake, TX
Past
September 28, 2017 - January 14, 2019
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
Southlake, TX
Past
May 5, 2017 - September 1, 2017
ROSENBLATT SECURITIES INC.
BD
CRD#: 18377
NEW YORK, NY
Past
August 16, 2006 - May 8, 2015
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
April 28, 2003 - August 16, 2004
SYMETRA SECURITIES, INC.
BD
CRD#: 739
BELLEVUE, WA
Past
March 18, 1999 - May 1, 2001
DEUTSCHE IXE, LLC
BD
CRD#: 7172
NEW YORK, NY
Past
March 16, 1998 - February 26, 1999
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
May 20, 1997 - March 10, 1998
M.S. FARRELL & COMPANY, INC.
BD
CRD#: 24232
SYOSSET, NY
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(7/8/2021)
RR
Alaska(7/8/2021)
RR
Arizona(7/8/2021)
RR
Arkansas(7/8/2021)
RR
California(7/8/2021)
RR
Colorado(7/8/2021)
RR
Connecticut(7/8/2021)
RR
Delaware(7/8/2021)
RR
District of Columbia(7/8/2021)
RR
Florida(7/8/2021)
RR
Georgia(7/8/2021)
RR
Hawaii(7/8/2021)
RR
Idaho(7/8/2021)
RR
Illinois(7/8/2021)
RR
Indiana(7/8/2021)
RR
Iowa(7/8/2021)
RR
Kansas(7/8/2021)
RR
Kentucky(7/8/2021)
RR
Louisiana(7/8/2021)
RR
Maine(7/8/2021)
RR
Maryland(7/8/2021)
RR
Massachusetts(7/8/2021)
RR
Michigan(7/8/2021)
RR
Minnesota(7/8/2021)
RR
Mississippi(7/8/2021)
RR
Missouri(7/8/2021)
RR
Montana(7/8/2021)
RR
Nebraska(7/8/2021)
RR
Nevada(7/8/2021)
RR
New Hampshire(7/8/2021)
RR
New Jersey(7/8/2021)
RR
New Mexico(7/8/2021)
RR
New York(7/8/2021)
RR
North Carolina(7/8/2021)
RR
North Dakota(7/8/2021)
RR
Ohio(7/9/2021)
RR
Oklahoma(7/8/2021)
RR
Oregon(7/8/2021)
RR
Pennsylvania(7/8/2021)
RR
Puerto Rico(7/8/2021)
RR
Rhode Island(7/8/2021)
RR
South Carolina(7/8/2021)
RR
South Dakota(7/8/2021)
RR
Tennessee(7/8/2021)
RR
Texas(7/8/2021)
RR
Utah(7/8/2021)
RR
Vermont(7/8/2021)
RR
Virgin Islands(7/8/2021)
RR
Virginia(7/8/2021)
RR
Washington(7/8/2021)
RR
West Virginia(7/8/2021)
RR
Wisconsin(7/8/2021)
RR
Wyoming(7/8/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 4/1/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/24/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product 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.
