SW
Stephen J. Wiley
NORTHERN TRUST SECURITIES
Venice, CA
Some features on this profile are disabled
CRD#: 5198597
SW
Professional summary
Stephen James Wiley, who also goes by Stephen J Wiley, Stephen Wiley, is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Venice, California.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Stephen has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen J Wiley | Stephen Wiley
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.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen James Wiley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen James Wiley'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 #2: 2049 Century Park East Suite 3600, Los Angeles, CA 90067RIA
BD
CRD#: 7927
Venice, CA
Current
January 25, 2008 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 2049 Century Park East Suite 3600, Los Angeles, CA 90067RIA
BD
CRD#: 7927
Los Angeles, CA
Past
September 1, 2010 - September 30, 2011
VISION INVESTMENT SERVICES, INC.
BD
CRD#: 46609
SAN FRANCISCO, CA
Past
January 25, 2008 - December 31, 2009
NORTHERN TRUST SECURITIES, INC.
RIA
CRD#: 7927
MONTECITO, CA
Past
February 5, 2007 - August 16, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN JOSE, CA
Past
October 27, 2006 - August 16, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN JOSE, CA
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(5/7/2014)
RR
Arizona(6/3/2009)
RR
California(1/25/2008)
IAR
California(2/5/2015)
RR
Colorado(6/3/2009)
RR
Connecticut(5/20/2014)
RR
Delaware(9/15/2021)
RR
District of Columbia(6/3/2009)
RR
Florida(6/3/2009)
RR
Georgia(11/16/2020)
RR
Hawaii(6/3/2009)
RR
Idaho(6/3/2009)
RR
Illinois(6/3/2009)
RR
Indiana(1/3/2018)
RR
Kansas(6/4/2015)
RR
Louisiana(6/3/2009)
RR
Maine(8/15/2019)
RR
Maryland(6/3/2009)
RR
Massachusetts(6/3/2009)
RR
Michigan(6/3/2009)
RR
Minnesota(6/3/2009)
RR
Missouri(5/7/2014)
RR
Montana(6/3/2009)
RR
Nebraska(6/3/2009)
RR
Nevada(6/3/2009)
RR
New Jersey(6/3/2009)
RR
New Mexico(5/7/2014)
RR
New York(6/3/2009)
RR
North Carolina(6/4/2009)
RR
Ohio(6/4/2009)
RR
Oregon(6/3/2009)
RR
Pennsylvania(6/3/2009)
RR
Rhode Island(5/7/2014)
RR
South Carolina(6/15/2023)
RR
Tennessee(1/3/2013)
RR
Texas(6/3/2009)
RR
Utah(6/3/2009)
RR
Vermont(6/3/2009)
RR
Virginia(6/3/2009)
RR
Washington(6/3/2009)
RR
West Virginia(1/18/2011)
RR
Wisconsin(5/29/2013)
RR
Wyoming(6/3/2009)
Exams
State Security Law 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)
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)
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 OPERATIONS OFFICER | 5716365 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF FINANCIAL 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.
