Patrick H. Dominick
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.
Patrick Henry Dominick was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1999. Patrick had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2020 - August 11, 2022
NORTHERN TRUST SECURITIES, INC.
October 23, 2018 - April 9, 2020
WINTRUST INVESTMENTS LLC
October 23, 2018 - April 9, 2020
WINTRUST INVESTMENTS LLC
May 19, 2016 - July 18, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 2016 - July 18, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2015 - February 19, 2016
WELLS FARGO CLEARING SERVICES, LLC
June 6, 2006 - December 31, 2009
NORTHERN TRUST SECURITIES, INC.
June 6, 2006 - August 31, 2015
NORTHERN TRUST SECURITIES, INC.
December 10, 2004 - June 9, 2006
LASALLE FINANCIAL SERVICES, INC.
December 10, 2004 - June 9, 2006
LASALLE FINANCIAL SERVICES, INC.
September 2, 2002 - November 23, 2004
HARRISDIRECT LLC
May 1, 2002 - November 23, 2004
HARRISDIRECT LLC
December 13, 2001 - May 1, 2002
HARRIS INVESTORLINE INC.
May 19, 1999 - October 6, 1999
ROBERT W. BAIRD & CO. INCORPORATED
May 19, 1999 - February 28, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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.
