Brent A. Penrose
NORTHERN TRUST SECURITIES | Senior Vice President–Wealth Management
Chicago, IL 60603
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CRD#: 5464292
Professional summary
Brent Allen Penrose, who also goes by Brent Allen Penrose, Brent A Penrose, Brent Penrose, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.
Brent is registered as a RR (Registered Representative) and started their career in finance in 2008. Brent has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brent Allen Penrose | Brent A Penrose | Brent Penrose
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.
I'm now on the board for Little Heroes League a non profit charitable organization. Business is not investment related. I was appointed to the board as of 1/28/2019, which is a non compensated position. Address is 2032 N. Clifton Ave Chicago, IL 60614. Organization has no involvement with UBS/JPM. I plan to spend 1-2 hours per month, outside of normal business hours. I'm one of 10 board members. Nature of business is to help provide funding for children born with 3 or more major organ defects. The organization is affiliated with Lurie Childrens Hospital, C.S. Mott Childrens and Stead Family Hospital.
CRS (Client Relationship Summary) - BD
Click below to view Brent Allen Penrose'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
May 29, 2025 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 50 South Lasalle, Chicago, IL 60603RIA
BD
CRD#: 7927
Chicago, IL
Past
September 1, 2023 - April 8, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Chicago, IL
Past
September 1, 2023 - April 8, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Chicago, IL
Past
July 31, 2020 - September 14, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BARRINGTON, IL
Past
July 31, 2020 - September 14, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BARRINGTON, IL
Past
May 10, 2017 - March 31, 2020
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
CHICAGO, IL
Past
May 10, 2017 - March 31, 2020
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
CHICAGO, IL
Past
March 13, 2013 - April 18, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHICAGO, IL
Past
January 3, 2011 - April 18, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHICAGO, IL
Past
December 14, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
CHICAGO, IL
Past
May 12, 2009 - November 17, 2010
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
DEER PARK, IL
Past
January 15, 2008 - March 20, 2008
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
NORTHBROOK, 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)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.
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
Arizona(5/29/2025)
RR
California(5/29/2025)
RR
Colorado(5/29/2025)
RR
Florida(5/29/2025)
RR
Illinois(5/29/2025)
RR
Indiana(5/29/2025)
RR
Iowa(5/29/2025)
RR
Michigan(5/29/2025)
RR
New Jersey(5/29/2025)
RR
New York(5/29/2025)
RR
North Carolina(5/29/2025)
RR
South Carolina(5/29/2025)
RR
Tennessee(5/29/2025)
RR
Texas(5/29/2025)
RR
Wisconsin(5/29/2025)
Exams
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.
Company Information
NORTHERN TRUST SECURITIES, INC.
Senior Vice President–Wealth ManagementCRD#: 7927Chicago, IL 60603TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
