AW
Amanda T. Williams
NORTHERN TRUST SECURITIES
CHICAGO, IL 60604
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CRD#: 4195897
AW
Professional summary
Amanda Tawney Williams, who also goes by Amanda Lee Alvarez, Amanda Lee Tawney, Amanda Tawney Williams, Amanda Lee Williams, is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.
Amanda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Amanda has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 3, SIE, Series 7, Series 4, Series 53, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amanda Lee Alvarez | Amanda Lee Tawney | Amanda Tawney Williams | Amanda Lee Williams
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.
Rental Property
Address: Denver, CO
Nature of the Business: Rental Real Estate
Position/Title: Proprietor/Owner
Investment Related:No
Start Date: 02/16/2009
Hours per month devoted to this business: 1
Hours per month devoted to this business during trading hours: 0
Description of duties: Mortgage holder for a rental property with my husband.
CRS (Client Relationship Summary) - RIA
Click below to view Amanda Tawney Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amanda Tawney Williams's 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®
NoneExperience
Current
May 25, 2022 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 333 South Wabash Avenue 34th Floor, Chicago, IL 60604RIA
BD
CRD#: 7927
CHICAGO, IL
Current
June 22, 2020 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 333 South Wabash Avenue 34th Floor, Chicago, IL 60604RIA
BD
CRD#: 7927
CHICAGO, IL
Past
March 11, 2021 - February 20, 2025
NORTHERN TRUST INVESTMENTS, INCORPORATED
RIA
CRD#: 105780
CHICAGO, IL
Past
January 13, 2020 - June 12, 2020
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
ST. PETERSBURG, FL
Past
January 10, 2020 - June 12, 2020
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
January 3, 2018 - December 31, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
ST. PETERSBURG, FL
Past
November 2, 2017 - December 31, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST PETERSBURG, FL
Past
August 22, 2017 - October 18, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
DENVER, CO
Past
December 14, 2016 - October 18, 2017
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
DENVER, CO
Past
July 12, 2016 - November 9, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
DENVER, CO
Past
April 6, 2016 - October 18, 2017
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
DENVER, CO
Past
October 6, 2015 - October 18, 2017
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
DENVER, CO
Past
September 25, 2013 - October 18, 2017
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
DENVER, CO
Past
September 17, 2013 - October 18, 2017
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
DENVER, CO
Past
August 12, 2013 - October 18, 2017
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
DENVER, CO
Past
February 13, 2007 - October 18, 2017
CETERA ADVISORS LLC
BD
CRD#: 10299
DENVER, CO
Past
August 29, 2000 - February 8, 2007
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ENGLEWOOD, CO
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.
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(6/22/2020)
RR
Alaska(6/22/2020)
RR
Arizona(6/22/2020)
RR
Arkansas(6/22/2020)
RR
California(6/22/2020)
RR
Colorado(6/22/2020)
RR
Connecticut(6/22/2020)
RR
Delaware(6/22/2020)
RR
District of Columbia(6/22/2020)
RR
Florida(6/22/2020)
RR
Georgia(6/22/2020)
RR
Hawaii(6/22/2020)
RR
Idaho(6/22/2020)
RR
Illinois(6/22/2020)
IAR
Illinois(5/25/2022)
RR
Indiana(6/22/2020)
RR
Iowa(6/22/2020)
RR
Kansas(6/22/2020)
RR
Kentucky(6/22/2020)
RR
Louisiana(6/22/2020)
RR
Maine(6/22/2020)
RR
Maryland(6/22/2020)
RR
Massachusetts(6/22/2020)
RR
Michigan(6/22/2020)
RR
Minnesota(6/22/2020)
RR
Mississippi(6/22/2020)
RR
Missouri(6/22/2020)
RR
Montana(6/22/2020)
RR
Nebraska(6/22/2020)
RR
Nevada(6/22/2020)
RR
New Hampshire(6/22/2020)
RR
New Jersey(6/22/2020)
RR
New Mexico(6/22/2020)
RR
New York(6/22/2020)
RR
North Carolina(6/22/2020)
RR
North Dakota(6/22/2020)
RR
Ohio(6/22/2020)
RR
Oklahoma(6/22/2020)
RR
Oregon(6/22/2020)
RR
Pennsylvania(6/22/2020)
RR
Puerto Rico(6/22/2020)
RR
Rhode Island(6/22/2020)
RR
South Carolina(6/22/2020)
RR
South Dakota(6/22/2020)
RR
Tennessee(6/22/2020)
RR
Texas(6/22/2020)
RR
Utah(6/22/2020)
RR
Vermont(6/22/2020)
RR
Virgin Islands(6/22/2020)
RR
Virginia(6/22/2020)
RR
Washington(6/22/2020)
RR
West Virginia(6/22/2020)
RR
Wisconsin(6/22/2020)
RR
Wyoming(6/22/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 4/5/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
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)
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.
