Ivy R. Daily

NORTHERN TRUST SECURITIES

CHICAGO, IL 60604

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CRD#: 4267549

Professional summary

Ivy Romera Daily is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.

Ivy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Ivy has worked at 16 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 87, Series 3, Series 7, Series 53, Series 27, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Ivy Romera Daily's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Ivy Romera Daily'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

April 7, 2015 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 333 South Wabash Avenue 34th Floor, Chicago, IL 60604

RIA

CRD#: 7927

CHICAGO, IL

Current

November 4, 2013 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 333 South Wabash Avenue 34th Floor, Chicago, IL 60604

RIA

CRD#: 7927

CHICAGO, IL

Past

July 18, 2013 - November 8, 2013

MORPHEUS SECURITIES LLC

CRD#: 45561

WEST ORANGE, NJ

Past

April 30, 2010 - April 4, 2011

CA FUNDS GROUP, INC.

CRD#: 151193

GLEN ELLYN, IL

Past

April 16, 2009 - September 1, 2009

NORTH SOUTH CAPITAL, LLC

CRD#: 148158

NEW LENOX, IL

Past

October 10, 2008 - March 3, 2009

KINGSBURY, LLC

CRD#: 147102

EVANSTON, IL

Past

May 29, 2008 - June 24, 2008

RIVERSIDE SECURITIES, INC.

CRD#: 15005

CHICAGO, IL

Past

August 22, 2006 - November 13, 2006

FULCRUM SECURITIES, LLC

CRD#: 140084

SAINT LOUIS, MO

Past

August 21, 2006 - December 7, 2006

ENERGY SECURITIES, INC.

CRD#: 101220

BRENTWOOD, TN

Past

July 20, 2006 - December 4, 2007

ALARON FINANCIAL SERVICES

CRD#: 45416

CHICAGO, IL

Past

January 25, 2006 - August 2, 2006

DIRECT CAPITAL SECURITIES, INC.

CRD#: 29639

AUSTIN, TX

Past

December 20, 2005 - August 31, 2006

J. SCOTT SECURITIES CORP.

CRD#: 47007

GOLDEN, CO

Past

December 19, 2005 - December 11, 2006

VCS VENTURE SECURITIES

CRD#: 127921

NEW YORK, NY

Past

November 3, 2005 - September 1, 2006

TRITAURIAN CAPITAL, INCORPORATED

CRD#: 45500

NEW YORK, NY

Past

October 26, 2005 - January 12, 2006

USF SECURITIES, L.P.

CRD#: 37942

HOUSTON, TX

Past

July 6, 2005 - December 4, 2013

MEMPHIS CAPITAL

CRD#: 8564

CHICAGO, IL

Past

May 7, 2004 - December 31, 2004

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

February 22, 2001 - April 2, 2003

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, 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.

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)

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.

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

Illinois
(11/4/2013)

IAR

Illinois
(4/7/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/30/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/19/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 8/7/2017

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 3

Date: 1/16/2007

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/2/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/5/2014

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 8/19/2005

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/31/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/22/2001

General Securities Principal Examination

SRO Registrations

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)

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

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

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

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

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Advisor Monitoring

Firm Stability Insights

Ivy R. Daily

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ivy Romera Daily's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ivy Romera Daily's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN TRUST SECURITIES, INC.

MORPHEUS SECURITIES LLC

CA FUNDS GROUP, INC.

NORTH SOUTH CAPITAL, LLC

KINGSBURY, LLC

RIVERSIDE SECURITIES, INC.

FULCRUM SECURITIES, LLC

ENERGY SECURITIES, INC.

ALARON FINANCIAL SERVICES

DIRECT CAPITAL SECURITIES, INC.

J. SCOTT SECURITIES CORP.

VCS VENTURE SECURITIES

TRITAURIAN CAPITAL, INCORPORATED

USF SECURITIES, L.P.

MEMPHIS CAPITAL

LASALLE ST SECURITIES, L.L.C.

LASALLE ST SECURITIES, L.L.C.

Primary Firm SEC Registration

NORTHERN TRUST SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2015

Series 63

Date: 1/19/2001

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 8/7/2017

Series 3

Date: 1/16/2007

Series 7

Date: 2/2/2001

Series 53

Date: 5/5/2014

Series 27

Date: 8/19/2005

Series 4

Date: 12/31/2001

Series 24

Date: 2/22/2001

FINRA

Current Firm

NORTHERN TRUST SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

NORTHERN TRUST SECURITIES, INC.

TRUST BUT VERIFY

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