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RE

Roger A. Estrada

NORTHERN TRUST SECURITIES
Chicago, IL 60603
Some features on this profile are disabled
CRD#: 4179101
RE

Professional summary

Roger Alfredo Estrada, AIF® is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.

Roger is registered as a RR (Registered Representative) and started their career in finance in 2000. Roger has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Roger Alfredo Estrada'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

April 24, 2026 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 50 South Lasalle, Chicago, IL 60603
RIA
BD
CRD#: 7927
Chicago, IL
Past

December 23, 2019 - January 7, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
BOCA RATON, FL
Past

October 29, 2019 - January 7, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
BOCA RATON, FL
Past

August 13, 2007 - January 25, 2018

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
BOCA RATON, FL
Past

August 13, 2007 - January 25, 2018

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
BOCA RATON, FL
Past

November 22, 2000 - July 19, 2007

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
MIAMI, FL
Past

November 21, 2000 - July 19, 2007

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
MIAMI, FL
Past

June 2, 2000 - October 11, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 2, 2000 - October 11, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/26/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/11/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/2000
General Securities 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)
PREMIUM
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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 VINCENTDIRECTOR4255568
CHERRY, JON VINCENTPRESIDENT4255568
DEVITA, DINO ANTHONYDIRECTOR3022063
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 60603

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