Kristin B. Bruce
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kristin Barbara Bruce, who also goes by Kristin Barbara Mehta, Kristin Mehta, Kristin Barbara Salisbury, was a registered financial professional .
Kristin is a previously registered financial professional and started their career in finance in 1999. Kristin had worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2011 - March 13, 2015
NORTHERN TRUST SECURITIES, INC.
October 11, 2011 - December 21, 2011
LPL FINANCIAL LLC
October 11, 2011 - December 21, 2011
LPL FINANCIAL LLC
January 22, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 4, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
March 26, 2009 - December 2, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 14, 2007 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 9, 2007 - December 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 6, 2007 - November 13, 2007
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - November 13, 2007
MORGAN KEEGAN & COMPANY, LLC
August 9, 2005 - February 20, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
November 12, 2004 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
November 21, 2003 - November 5, 2004
JBS LIBERTY SECURITIES, INC.
February 25, 2003 - November 25, 2003
LUMENT SECURITIES, LLC
July 5, 2000 - November 11, 2002
A. G. EDWARDS & SONS, INC.
May 20, 1999 - June 29, 2000
TRUIST INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
Contact information
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.
