MW
Matthew J. Williams
NORTHERN TRUST SECURITIES
Scottsdale, AZ 85254
Some features on this profile are disabled
CRD#: 2887300
MW
Professional summary
Matthew John Williams, CFP®, who also goes by Matthew Williams, is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Scottsdale, Arizona.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Matthew has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew Williams
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 Matthew John Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew John Williams'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: 2005
Experience
Current
August 30, 2021 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 14624 N Scottsdale Rd Suite 250, Scottsdale, AZ 85254RIA
BD
CRD#: 7927
Scottsdale, AZ
Current
August 23, 2021 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 14624 N Scottsdale Rd Suite 250, Scottsdale, AZ 85254RIA
BD
CRD#: 7927
Scottsdale, AZ
Past
June 8, 2018 - August 4, 2020
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
Scottsdale, AZ
Past
June 8, 2018 - August 4, 2020
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
Past
October 5, 2016 - June 4, 2018
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
Cary, NC
Past
September 28, 2016 - June 4, 2018
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
CARY, NC
Past
January 4, 2016 - September 29, 2016
TD AMERITRADE, INC.
RIA
CRD#: 7870
CARY, NC
Past
January 4, 2016 - September 29, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Cary, NC
Past
January 4, 2016 - September 29, 2016
TD AMERITRADE, INC.
BD
CRD#: 7870
CARY, NC
Past
July 23, 2010 - August 21, 2014
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
DURHAM, NC
Past
July 21, 2010 - August 20, 2014
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
DURHAM, NC
Past
April 27, 2007 - October 28, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MENLO PARK, CA
Past
April 27, 2007 - October 28, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MENLO PARK, CA
Past
April 2, 2007 - May 1, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SAN JOSE, CA
Past
April 2, 2007 - May 1, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SAN JOSE, CA
Past
August 24, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SAN JOSE, CA
Past
June 26, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SAN JOSE, CA
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(8/23/2021)
RR
Alaska(4/22/2024)
RR
Arizona(8/26/2021)
IAR
Arizona(9/8/2021)
RR
Arkansas(5/2/2025)
RR
California(8/23/2021)
RR
Colorado(8/23/2021)
RR
Connecticut(8/23/2021)
RR
Delaware(8/23/2021)
RR
District of Columbia(8/23/2021)
RR
Florida(8/23/2021)
RR
Georgia(8/23/2021)
RR
Hawaii(5/2/2025)
RR
Idaho(11/2/2023)
RR
Illinois(8/23/2021)
RR
Indiana(8/23/2021)
RR
Iowa(12/7/2023)
RR
Kansas(5/2/2025)
RR
Kentucky(8/23/2021)
RR
Louisiana(8/23/2021)
RR
Maine(8/23/2021)
RR
Maryland(8/23/2021)
RR
Massachusetts(8/23/2021)
RR
Michigan(8/23/2021)
RR
Minnesota(8/23/2021)
RR
Mississippi(5/2/2025)
RR
Missouri(8/23/2021)
RR
Montana(11/2/2023)
RR
Nebraska(8/23/2021)
RR
Nevada(8/23/2021)
RR
New Hampshire(7/8/2024)
RR
New Jersey(8/23/2021)
RR
New Mexico(8/23/2021)
RR
New York(8/23/2021)
RR
North Carolina(8/23/2021)
RR
North Dakota(5/2/2025)
RR
Ohio(8/23/2021)
RR
Oklahoma(4/10/2024)
RR
Oregon(8/23/2021)
RR
Pennsylvania(8/23/2021)
RR
Rhode Island(8/23/2021)
RR
South Carolina(8/23/2021)
RR
South Dakota(5/2/2025)
RR
Tennessee(8/23/2021)
RR
Texas(8/23/2021)
RR
Utah(8/23/2021)
RR
Vermont(1/8/2024)
RR
Virginia(8/23/2021)
RR
Washington(8/23/2021)
RR
West Virginia(5/2/2025)
RR
Wisconsin(8/23/2021)
RR
Wyoming(5/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
