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Shannon C. Crowley

NORTHERN TRUST SECURITIES
Chicago, IL 60675
Some features on this profile are disabled
CRD#: 4095301
SC

Professional summary

Shannon C Crowley, who also goes by Shannon Colleen Crowley, Shannon Colleen Murphy, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.

Shannon is registered as a RR (Registered Representative) and started their career in finance in 2000. Shannon has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shannon Colleen Crowley | Shannon Colleen Murphy

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shannon C Crowley's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 28, 2025 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 181 West Madison, Chicago, IL 60675
RIA
BD
CRD#: 7927
Chicago, IL
Past

April 13, 2021 - December 31, 2024

GRV SECURITIES LLC

BD
CRD#: 138348
CHICAGO, IL
Past

August 22, 2019 - April 6, 2021

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

May 10, 2012 - July 23, 2019

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

December 15, 2011 - May 7, 2012

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

January 4, 2010 - November 9, 2011

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

August 1, 2008 - January 4, 2010

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

April 17, 2000 - July 11, 2008

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
OAKBROOK TERRACE, IL

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.
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.

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
Illinois
(2/28/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/18/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/15/2000
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NORTHERN TRUST SECURITIES, INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NORTHERN TRUST SECURITIES, INC. (7/8/2025)

Direct owners and executive officers

NamePositionCRD#
NORTHERN TRUST CORPORATIONSHAREHOLDER
BLOWERS, DAVID CHARLESDIRECTOR4377133
BURNS, RYAN DOUGLASDIRECTOR7427168
CARBERRY, CRAIG RICHARDSECRETARY2075889
CHAPPELL, DARLENEMLRO (ANTI-MONEY LAUNDERING OFFICER)8158928
CHERRY, JON VINCENTPRESIDENT4255568
CHERRY, JON VINCENTDIRECTOR4255568
ELLIS, KATHERINE THERESEDIRECTOR2519959
GOFORTH, STEPHANIE ECKERTDIRECTOR4348777
PECCATIELLO, ANTHONY JOSEPHCHIEF FINANCIAL OFFICER5716365
PECCATIELLO, ANTHONY JOSEPHCHIEF OPERATIONS OFFICER5716365
PICKETT, MELANIE ZAIRISDIRECTOR3256748
THOMAS, SUNITHA CHERIANDIRECTOR7881171
THORNTON, MITCHELL BLAIRDIRECTOR2515299
WILLIAMS, AMANDA TAWNEYCHIEF COMPLIANCE OFFICER4195897

Regulatory assets under management

Total Number of Accounts2,283
AUM (Assets Under Management)$ 1,276,929,981

Disclosures

Regulatory Event8

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/21/2025
Cover Page
Report
09/25/2024
Cover Page
Report
08/23/2023
Cover Page
Report

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.

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927Chicago, IL 60675

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