KJ
Kathryn R. Jones
NORTHERN TRUST SECURITIES | Financial Consultant
Naples, FL 34103
Some features on this profile are disabled
CRD#: 3163515
KJ
Professional summary
Kathryn Rhea Jones, who also goes by Kathy Jones, Kathryn R Jones, is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Naples, Florida.
Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kathryn has worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Biography
As a Financial Consultant with over 18 years of experience in the financial services industry. I work closely with my clients to address their financial planning and wealth management needs. Using a holistic approach, I come to understand your unique situation, then based on your priorities and preferences - educate you on Fidelity's way of approaching long-term financial goals. I'm here to meet you where you're at, and partner with you in pursuing your retirement and legacy.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathy Jones | Kathryn R Jones
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 Kathryn Rhea Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathryn Rhea Jones'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®
NoneEducation
University of Memphis
Bachelor of Arts (BA) - English Literature
1996
Experience
Current
October 30, 2023 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 4001 Tamiami Trail North, Naples, FL 34103RIA
BD
CRD#: 7927
Naples, FL
Current
October 23, 2023 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 4001 Tamiami Trail North, Naples, FL 34103RIA
BD
CRD#: 7927
Naples, FL
Past
April 6, 2022 - January 5, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
NAPLES, FL
Past
March 8, 2022 - December 5, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
NAPLES, FL
Past
July 14, 2016 - February 14, 2022
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
New York City, NY
Past
July 14, 2016 - February 14, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
New York City, NY
Past
January 9, 2013 - June 23, 2016
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
LATHAM, NY
Past
December 12, 2012 - June 23, 2016
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
LATHAM, NY
Past
January 8, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 8, 2007 - July 10, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NEW YORK, NY
Past
March 22, 2005 - April 27, 2005
LORD, ABBETT & CO. LLC
RIA
CRD#: 110391
JERSEY CITY, NJ
Past
July 16, 2004 - April 27, 2005
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
Past
November 20, 2002 - December 31, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
April 24, 2002 - August 16, 2002
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
June 1, 2001 - October 29, 2001
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
BOSTON, MA
Past
September 18, 2000 - June 21, 2001
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
January 27, 1999 - August 25, 2000
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.
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(10/23/2023)
RR
Arizona(10/23/2023)
RR
California(10/23/2023)
RR
Colorado(10/23/2023)
RR
Connecticut(10/23/2023)
RR
District of Columbia(10/23/2023)
RR
Florida(10/23/2023)
IAR
Florida(10/30/2023)
RR
Georgia(10/23/2023)
RR
Illinois(10/23/2023)
RR
Indiana(10/23/2023)
RR
Iowa(2/7/2024)
RR
Kansas(1/2/2025)
RR
Kentucky(10/23/2023)
RR
Louisiana(10/23/2023)
RR
Maine(10/23/2023)
RR
Maryland(10/23/2023)
RR
Massachusetts(10/23/2023)
RR
Michigan(10/23/2023)
RR
Minnesota(10/23/2023)
RR
Missouri(10/23/2023)
RR
Nebraska(4/10/2024)
RR
Nevada(10/23/2023)
RR
New Hampshire(11/12/2024)
RR
New Jersey(10/23/2023)
RR
New Mexico(10/23/2023)
RR
New York(10/23/2023)
RR
North Carolina(10/23/2023)
RR
Ohio(10/23/2023)
RR
Oregon(10/23/2023)
RR
Pennsylvania(10/23/2023)
RR
Rhode Island(10/23/2023)
RR
South Carolina(10/23/2023)
RR
Tennessee(10/23/2023)
RR
Texas(10/23/2023)
RR
Utah(10/23/2023)
RR
Vermont(2/8/2024)
RR
Virginia(10/23/2023)
RR
Washington(10/23/2023)
RR
Wisconsin(10/23/2023)
Exams
State Security Law Exam
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.
Company Information
NORTHERN TRUST SECURITIES, INC.
Financial ConsultantCRD#: 7927Naples, FL 34103TRUST BUT VERIFY
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Contact information
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