AA
Angela H. Anast
NORTHERN TRUST SECURITIES
Chicago, IL 60675
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CRD#: 2879516
AA
Professional summary
Angela Heath Anast, CIMA®, who also goes by Angela Mae Anast, Angela Mae Heath, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.
Angela is registered as a RR (Registered Representative) and started their career in finance in 1998. Angela has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Angela Mae Anast | Angela Mae Heath
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 Angela Heath Anast'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®
Experience
Current
February 22, 2005 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 181 West Madison, Chicago, IL 60675RIA
BD
CRD#: 7927
Chicago, IL
Past
February 23, 2005 - December 31, 2009
NORTHERN TRUST SECURITIES, INC.
RIA
CRD#: 7927
CHICAGO, IL
Past
December 31, 2001 - September 1, 2004
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
CHARLOTTE, NC
Past
January 1, 1999 - August 24, 2004
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
June 30, 1998 - January 27, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, 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(4/21/2016)
RR
Alaska(4/21/2016)
RR
Arizona(4/21/2016)
RR
Arkansas(4/21/2016)
RR
California(4/21/2016)
RR
Colorado(4/21/2016)
RR
Connecticut(4/21/2016)
RR
Delaware(4/21/2016)
RR
District of Columbia(4/21/2016)
RR
Florida(4/21/2016)
RR
Georgia(4/21/2016)
RR
Hawaii(4/21/2016)
RR
Idaho(4/21/2016)
RR
Illinois(2/22/2005)
RR
Indiana(4/21/2016)
RR
Iowa(4/21/2016)
RR
Kansas(4/21/2016)
RR
Kentucky(4/21/2016)
RR
Louisiana(4/21/2016)
RR
Maine(4/21/2016)
RR
Maryland(4/21/2016)
RR
Massachusetts(4/21/2016)
RR
Michigan(4/21/2016)
RR
Minnesota(4/21/2016)
RR
Mississippi(4/21/2016)
RR
Missouri(4/21/2016)
RR
Montana(4/21/2016)
RR
Nebraska(4/21/2016)
RR
Nevada(4/21/2016)
RR
New Hampshire(4/21/2016)
RR
New Jersey(4/21/2016)
RR
New Mexico(4/21/2016)
RR
New York(4/21/2016)
RR
North Carolina(4/22/2016)
RR
North Dakota(4/21/2016)
RR
Ohio(4/21/2016)
RR
Oklahoma(4/21/2016)
RR
Oregon(4/21/2016)
RR
Pennsylvania(4/21/2016)
RR
Rhode Island(4/21/2016)
RR
South Carolina(4/21/2016)
RR
South Dakota(4/21/2016)
RR
Tennessee(4/21/2016)
RR
Texas(4/21/2016)
RR
Utah(4/21/2016)
RR
Vermont(4/21/2016)
RR
Virginia(4/21/2016)
RR
Washington(4/21/2016)
RR
West Virginia(4/21/2016)
RR
Wisconsin(4/21/2016)
RR
Wyoming(4/21/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
