Mark John W. Ennis
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.
Mark John William Ennis, who also goes by Mark-john William Ennis, M.j. Ennis, was a registered financial professional .
Mark John is a previously registered financial professional and started their career in finance in 2000. Mark John had worked at 9 firms and has passed the Series 63, Series 65, Series 57TO, Series 7TO, SIE, Series 99, Series 55, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2021 - January 2, 2025
NORTHERN TRUST SECURITIES, INC.
May 11, 2018 - March 2, 2021
MIZUHO SECURITIES USA LLC
October 8, 2013 - December 23, 2013
OPTIONSHOUSE1, LLC
May 25, 2010 - April 14, 2011
G1 EXECUTION SERVICES, LLC
May 3, 2005 - September 12, 2013
E*TRADE SECURITIES LLC
January 12, 2005 - April 22, 2005
B. RILEY WEALTH MANAGEMENT
March 21, 2003 - May 28, 2004
BANC ONE SECURITIES CORPORATION
May 30, 2001 - May 28, 2004
BANC ONE SECURITIES CORPORATION
September 7, 2000 - February 22, 2001
LASALLE FINANCIAL SERVICES, INC.
February 7, 2000 - August 23, 2000
FORESTERS FINANCIAL 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
Series 57TO
Date: 6/4/2021
Securities Trader ExamSeries 7TO
Date: 4/9/2021
General Securities Representative ExaminationSeries 55
Date: 7/15/2002
Limited Representative-Equity Trader ExamCurrent 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.
