AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MG

Michael J. Giordano

Some features on this profile are disabled
CRD#: 4420099
MG

Professional summary

Michael John Giordano was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Michael had worked at 4 firms, which includes NORTHERN TRUST SECURITIES INC., CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, AMERIPRISE ADVISOR SERVICES INC..

top-8-questions

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 5, 2010 - September 26, 2011

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

February 21, 2008 - September 9, 2010

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CHICAGO, IL
Past

May 29, 2007 - September 9, 2010

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CHICAGO, IL
Past

November 14, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
CHICAGO, IL
Past

July 3, 2003 - September 9, 2005

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
CHICAGO, IL
Past

July 18, 2001 - September 9, 2005

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

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: 12/12/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/30/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/5/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/17/2001
Investment Company Products/Variable Contracts Representative Examination

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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 VINCENTPRESIDENT4255568
CHERRY, JON VINCENTDIRECTOR4255568
ELLIS, KATHERINE THERESEDIRECTOR2519959
GOFORTH, STEPHANIE ECKERTDIRECTOR4348777
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#: 7927

TRUST BUT VERIFY

Monitor Michael Giordano

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.