CG
Chris A. Galliano
NORTHERN TRUST SECURITIES
Houston, TX 77057
Some features on this profile are disabled
CRD#: 4279624
CG
Professional summary
Chris Arthur Galliano SR is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Houston, Texas.
Chris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Chris has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3 and Series 7 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 name of the other business: Katie Galliano Interiors/ KGI Group Inc. whether the business is investment-related: Spouse's personal business. the address of the other business, the nature of the other business: 403 Hunters Park Lane, Houston TX 77024; Residential & Commercial Design, Build & Procurement; Residential & commercial renovation and construction. your position, title, or relationship with the other business: Spouse/help with tax preparation. the start date of your relationship: Do not recall. the approximate number of hours/month you devote to the other business: After hours, very limited, approx.. 8 hours a year. the number of hours you devote to the other business during securities trading hours: none. and briefly describe your duties relating to the other business: Tax prep. The name of the other business: Modern Campus Living, LLC. whether the business is investment-related: My wife and I's personal real estate. the address of the other business, the nature of the other business: 403 Hunters Park Lane, Houston TX 77024; Residential & Commercial Real Estate Holdings. your position, title, or relationship with the other business: Wife and I are sole members. the start date of your relationship, Do not recall. the approximate number of hours/month you devote to the other business: After business hours and weekends, 2-4 hours a month, 12-24 hours year. the number of hours you devote to the other business during securities trading hours. Zero. and briefly describe your duties relating to the other business. Tax Prep, organizing, light maintenance.
CRS (Client Relationship Summary) - RIA
Click below to view Chris Arthur Galliano SR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Chris Arthur Galliano SR'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
February 5, 2015 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 1801 Post Oak Blvd., Houston, TX 77057Office #2: 98 San Jacinto Blvd, Austin, TX 78701RIA
BD
CRD#: 7927
Houston, TX
Current
March 3, 2011 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 1801 Post Oak Blvd., Houston, TX 77057Office #2: 98 San Jacinto Blvd, Austin, TX 78701RIA
BD
CRD#: 7927
Houston, TX
Past
April 13, 2011 - September 30, 2011
VISION INVESTMENT SERVICES, INC.
BD
CRD#: 46609
HOUSTON, TX
Past
July 27, 2010 - February 24, 2011
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
HOUSTON, TX
Past
July 27, 2010 - February 24, 2011
HILLTOP SECURITIES INC.
BD
CRD#: 6220
HOUSTON, TX
Past
June 1, 2009 - August 4, 2010
MORGAN STANLEY
RIA
CRD#: 149777
HOUSTON, TX
Past
June 1, 2009 - August 4, 2010
MORGAN STANLEY
BD
CRD#: 149777
HOUSTON, TX
Past
October 30, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
HOUSTON, TX
Past
October 13, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
HOUSTON, TX
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(7/5/2016)
RR
Arizona(7/10/2013)
RR
Arkansas(7/10/2013)
RR
California(3/3/2011)
RR
Colorado(7/10/2013)
RR
Connecticut(5/14/2014)
RR
Delaware(3/2/2020)
RR
Florida(3/27/2014)
RR
Georgia(3/27/2014)
RR
Idaho(12/4/2019)
RR
Illinois(7/10/2013)
RR
Indiana(3/20/2014)
RR
Kentucky(9/3/2020)
RR
Louisiana(3/3/2011)
RR
Maine(4/29/2020)
RR
Maryland(1/16/2025)
RR
Massachusetts(1/17/2020)
RR
Minnesota(5/14/2014)
RR
Mississippi(3/28/2014)
RR
Missouri(1/29/2019)
RR
Nebraska(12/16/2021)
RR
Nevada(3/27/2014)
RR
New Hampshire(12/15/2020)
RR
New Jersey(3/3/2011)
RR
New Mexico(5/14/2014)
RR
New York(7/10/2013)
RR
North Carolina(5/14/2014)
RR
Oklahoma(9/18/2024)
RR
Oregon(7/10/2013)
RR
Pennsylvania(7/21/2016)
RR
Tennessee(7/5/2016)
RR
Texas(3/3/2011)
IAR
Texas(2/5/2015)
RR
Utah(7/15/2022)
RR
Virgin Islands(7/31/2025)
RR
Washington(7/10/2013)
RR
Wisconsin(3/27/2014)
RR
Wyoming(5/14/2014)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
