LK
Leonida A. Kourtoglou
NORTHERN TRUST SECURITIES
Menlo Park, CA 94025
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CRD#: 3001560
LK
Professional summary
Leonida Antony Kourtoglou, who also goes by Lee Anthony Kourtoglou, Leonida Anthony Kourtoglou, Leonidas Anthony Kourtoglou, is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Menlo Park, California.
Leonida is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Leonida has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lee Anthony Kourtoglou | Leonida Anthony Kourtoglou | Leonidas Anthony Kourtoglou
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.
1. NAME: RENTAL PROPERTY IDAHO FALLS;
2. INVESTMENT-RELATED: YES;
3. ADDRESS: 1550 BULLPEN WAY, IDAHO FALLS, ID 83401;
4. NATURE: RENTAL;
5. POSITION: OWNER;
6. START DATE: 7/16/2008;
7. APPROX. HRS/MTH DEVOTED TO THE OTHER BUSINESS: 1;
8. NUMBER OF HRS DEVOTED DURING SECURITIES TRADING HRS: 1;
9. DUTIES: PASSIVE OWNER. I HAVE PROPERTY MANAGEMENT COMPANY
CRS (Client Relationship Summary) - RIA
Click below to view Leonida Antony Kourtoglou's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leonida Antony Kourtoglou'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
September 5, 2023 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 2500 Sand Hill Rd, Menlo Park, CA 94025RIA
BD
CRD#: 7927
Menlo Park, CA
Current
September 5, 2023 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 2500 Sand Hill Rd, Menlo Park, CA 94025RIA
BD
CRD#: 7927
Menlo Park, CA
Past
December 20, 2016 - May 31, 2022
HARRISDIRECT LLC
RIA
CRD#: 42159
Menlo Park, CA
Past
December 20, 2016 - May 31, 2022
E*TRADE SECURITIES LLC
BD
CRD#: 29106
Menlo Park, CA
Past
December 12, 2014 - December 12, 2016
EDWARD JONES
RIA
CRD#: 250
BURLINGAME, CA
Past
September 24, 2014 - December 12, 2016
EDWARD JONES
BD
CRD#: 250
BURLINGAME, CA
Past
January 28, 1998 - April 24, 1998
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, 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(9/5/2023)
RR
Alaska(9/5/2023)
RR
Arizona(9/5/2023)
RR
Arkansas(9/5/2023)
RR
California(9/5/2023)
IAR
California(9/5/2023)
RR
Colorado(9/5/2023)
RR
Connecticut(9/5/2023)
RR
Delaware(9/5/2023)
RR
District of Columbia(9/5/2023)
RR
Florida(9/5/2023)
RR
Georgia(9/5/2023)
RR
Hawaii(9/5/2023)
RR
Idaho(9/5/2023)
RR
Illinois(9/5/2023)
RR
Indiana(9/5/2023)
RR
Iowa(9/5/2023)
RR
Kansas(9/5/2023)
RR
Kentucky(9/5/2023)
RR
Louisiana(9/5/2023)
RR
Maine(9/5/2023)
RR
Maryland(9/5/2023)
RR
Massachusetts(9/5/2023)
RR
Michigan(9/5/2023)
RR
Minnesota(9/5/2023)
RR
Mississippi(9/5/2023)
RR
Missouri(9/5/2023)
RR
Montana(9/5/2023)
RR
Nebraska(9/5/2023)
RR
Nevada(9/5/2023)
RR
New Hampshire(9/5/2023)
RR
New Jersey(9/5/2023)
RR
New Mexico(9/5/2023)
RR
New York(9/5/2023)
RR
North Carolina(9/5/2023)
RR
North Dakota(9/5/2023)
RR
Ohio(9/13/2023)
RR
Oklahoma(9/5/2023)
RR
Oregon(9/5/2023)
RR
Pennsylvania(9/5/2023)
RR
Rhode Island(9/5/2023)
RR
South Carolina(9/5/2023)
RR
South Dakota(9/5/2023)
RR
Tennessee(9/5/2023)
RR
Texas(9/5/2023)
RR
Utah(9/5/2023)
RR
Vermont(9/5/2023)
RR
Virginia(9/5/2023)
RR
Washington(9/5/2023)
RR
West Virginia(9/5/2023)
RR
Wisconsin(9/5/2023)
RR
Wyoming(9/5/2023)
Exams
State Security Law Exam
General Industry/Product 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.
Company Information
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927Menlo Park, CA 94025TRUST BUT VERIFY
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