Mark A. Kierna

NORTHERN TRUST INVESTMENTS

Chicago, IL 60603

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CRD#: 5149248

Professional summary

Mark Allen Kierna, who also goes by Mark Allen Kierna, is a registered financial advisor currently at NORTHERN TRUST INVESTMENTS, INCORPORATED located in Chicago, Illinois and NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Mark has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Allen Kierna

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 Mark Allen Kierna'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

March 5, 2025 - Present

NORTHERN TRUST INVESTMENTS, INCORPORATED

Office #1: 181 West Madison Mb-22, Chicago, IL 60603

RIA

CRD#: 105780

Chicago, IL

Current

March 5, 2025 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 181 West Madison, Chicago, IL 60675

RIA

CRD#: 7927

Chicago, IL

Past

June 16, 2023 - March 3, 2025

CALAMOS ADVISORS LLC

RIA

CRD#: 105758

Chicago, IL

Past

June 16, 2023 - March 3, 2025

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

Chicago, IL

Past

September 1, 2011 - April 11, 2023

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

January 20, 2011 - September 1, 2011

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

January 20, 2011 - April 11, 2023

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

June 1, 2009 - December 16, 2010

MORGAN STANLEY

RIA

CRD#: 149777

DEERFIELD, IL

Past

June 1, 2009 - December 16, 2010

MORGAN STANLEY

CRD#: 149777

DEERFIELD, IL

Past

March 10, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DEERFIELD, IL

Past

November 19, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DEERFIELD, 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 INVESTMENTS, INCORPORATED

NORTHERN TRUST INVESTMENTS INC. | NTI, INC. | NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. | NORTHERN TRUST INVESTMENTS, INCORPORATED

CRD#: 105780 / SEC#: 801-33358

RIA

Registered Investment Advisory firm - (11/25/1988 Approved)

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

Alabama
(3/5/2025)

Alaska
(3/5/2025)

Arizona
(3/5/2025)

Arkansas
(3/5/2025)

California
(3/5/2025)

Colorado
(3/5/2025)

Connecticut
(3/5/2025)

Delaware
(3/5/2025)

District of Columbia
(3/5/2025)

Florida
(3/5/2025)

Georgia
(3/5/2025)

Hawaii
(3/5/2025)

Idaho
(3/5/2025)

Illinois
(3/5/2025)

IAR

Illinois
(3/5/2025)

Indiana
(3/5/2025)

Iowa
(3/5/2025)

Kansas
(3/5/2025)

Kentucky
(3/5/2025)

Louisiana
(3/5/2025)

Maine
(3/5/2025)

Maryland
(3/5/2025)

Massachusetts
(3/5/2025)

Michigan
(3/5/2025)

Minnesota
(3/5/2025)

Mississippi
(3/5/2025)

Missouri
(3/5/2025)

Montana
(3/5/2025)

Nebraska
(3/5/2025)

Nevada
(3/5/2025)

New Hampshire
(3/5/2025)

New Jersey
(3/5/2025)

New Mexico
(3/5/2025)

New York
(3/5/2025)

North Carolina
(3/5/2025)

North Dakota
(3/5/2025)

Ohio
(3/6/2025)

Oklahoma
(3/5/2025)

Oregon
(3/5/2025)

Pennsylvania
(3/5/2025)

Rhode Island
(3/5/2025)

South Carolina
(3/5/2025)

South Dakota
(3/5/2025)

Tennessee
(3/5/2025)

Texas
(3/5/2025)

Utah
(3/5/2025)

Vermont
(3/5/2025)

Virginia
(3/5/2025)

Washington
(3/5/2025)

West Virginia
(3/5/2025)

Wisconsin
(3/5/2025)

Wyoming
(3/5/2025)

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: 3/4/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NORTHERN TRUST INVESTMENTS, INCORPORATED

NORTHERN TRUST INVESTMENTS INC. | NTI, INC. | NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. | NORTHERN TRUST INVESTMENTS, INCORPORATED

CRD#: 105780 / SEC#: 801-33358

RIA

Registered Investment Advisory firm - (11/25/1988 Approved)

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Contact information

Main Address

50 S Lasalle Street, Chicago, IL 60603-1008

Mailing Address

Phone number

(312) 630-6000

Established

Firm type

Fiscal year end

# of Employees

674

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHERN TRUST INVESTMENTS, INC. FORM ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,475
AUM (Assets Under Management)	$ 1,114,770,223,733

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/27/2025	Cover Page	Report
09/27/2024	Cover Page	Report
08/24/2023	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

Mark A. Kierna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allen Kierna's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN TRUST SECURITIES, INC.

CALAMOS ADVISORS LLC

CALAMOS FINANCIAL SERVICES LLC

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

NORTHERN TRUST INVESTMENTS, INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/17/2007

FINRA

Current Firm

NORTHERN TRUST INVESTMENTS, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NORTHERN TRUST INVESTMENTS, INCORPORATED

TRUST BUT VERIFY

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