KC
Karen J. Cameron
NORTHERN TRUST SECURITIES
Tequesta, FL
Some features on this profile are disabled
CRD#: 3021618
KC
Professional summary
Karen Julene Cameron, who also goes by Karen J Cameron, Karen Galloway, Karen Julene Gilley, Karen Hatfield, Karen Julene White, is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Tequesta, Florida.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Karen has worked at 6 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karen J Cameron | Karen Galloway | Karen Julene Gilley | Karen Hatfield | Karen Julene White
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 Karen Julene Cameron's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karen Julene Cameron'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
November 23, 2016 - Present
NORTHERN TRUST SECURITIES, INC.
RIA
BD
CRD#: 7927
Tequesta, FL
Current
June 13, 2016 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 50 South Lasalle, Chicago, IL 60603RIA
BD
CRD#: 7927
Chicago, IL
Past
April 16, 2014 - April 8, 2016
MORGAN STANLEY
BD
CRD#: 149777
STUART, FL
Past
August 13, 2007 - July 28, 2011
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
PALM BEACH GARDENS, FL
Past
August 10, 2007 - July 28, 2011
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PALM BEACH GARDENS, FL
Past
August 9, 2007 - August 21, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PALM BEACH GARDENS, FL
Past
August 2, 2007 - August 21, 2007
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PALM BEACH GARDENS, FL
Past
May 2, 2005 - October 18, 2006
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
PALM BEACH, FL
Past
April 29, 2005 - October 18, 2006
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
PALM BEACH, FL
Past
May 28, 2003 - May 2, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
N. PALM BCH., FL
Past
May 23, 2003 - May 2, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
October 27, 1998 - June 3, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NORTH PALM BEAC, FL
Past
October 20, 1998 - June 3, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(8/14/2017)
RR
Arizona(10/15/2020)
RR
California(6/13/2016)
RR
Colorado(6/21/2016)
RR
Connecticut(6/14/2016)
RR
Delaware(9/22/2020)
RR
District of Columbia(6/14/2016)
RR
Florida(6/14/2016)
IAR
Florida(11/23/2016)
RR
Georgia(6/23/2016)
RR
Hawaii(6/28/2016)
RR
Idaho(6/14/2016)
RR
Illinois(9/29/2023)
RR
Indiana(3/20/2019)
RR
Kentucky(10/29/2024)
RR
Louisiana(6/14/2016)
RR
Maine(9/18/2020)
RR
Maryland(6/15/2016)
RR
Massachusetts(9/20/2023)
RR
Michigan(9/21/2023)
RR
Minnesota(3/20/2019)
RR
Montana(6/14/2016)
RR
Nebraska(10/29/2024)
RR
Nevada(3/10/2020)
RR
New Hampshire(3/16/2018)
RR
New Jersey(6/22/2016)
RR
New Mexico(5/20/2020)
RR
New York(6/27/2016)
RR
North Carolina(6/21/2016)
RR
North Dakota(9/14/2020)
RR
Ohio(6/13/2016)
RR
Oregon(7/19/2018)
RR
Pennsylvania(6/14/2016)
RR
South Carolina(5/18/2017)
RR
Tennessee(7/12/2016)
RR
Texas(6/22/2016)
RR
Utah(12/2/2021)
RR
Virginia(1/24/2018)
RR
Washington(6/14/2016)
RR
West Virginia(6/22/2016)
RR
Wisconsin(6/15/2016)
RR
Wyoming(10/29/2024)
Exams
State Security Law Exam
State Security Law Exam
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.
