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JS

Jeffrey Stern

NORTHERN TRUST SECURITIES
Chicago, IL 60675
Some features on this profile are disabled
CRD#: 5898793
JS

Professional summary

Jeffrey Stern, who also goes by Jeffrey Braxton Stern, Jeffrey Stern, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2011. Jeffrey has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey Braxton Stern | Jeffrey Stern

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) - BD

Click below to view Jeffrey Stern'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

January 24, 2026 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 181 West Madison, Chicago, IL 60675
RIA
BD
CRD#: 7927
Chicago, IL
Past

October 5, 2022 - February 14, 2023

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

July 1, 2016 - July 15, 2021

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Irvine, CA
Past

June 30, 2016 - July 15, 2021

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Irvine, CA
Past

April 27, 2011 - July 10, 2014

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEWPORT BEACH, 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.
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
Alabama
(2/2/2026)
RR
Alaska
(2/2/2026)
RR
Arizona
(2/2/2026)
RR
Arkansas
(2/2/2026)
RR
California
(2/2/2026)
RR
Colorado
(2/2/2026)
RR
Connecticut
(2/2/2026)
RR
Delaware
(2/2/2026)
RR
District of Columbia
(2/2/2026)
RR
Florida
(2/2/2026)
RR
Georgia
(2/2/2026)
RR
Hawaii
(2/2/2026)
RR
Idaho
(2/2/2026)
RR
Illinois
(2/2/2026)
RR
Indiana
(2/2/2026)
RR
Iowa
(2/2/2026)
RR
Kansas
(2/2/2026)
RR
Kentucky
(2/2/2026)
RR
Louisiana
(2/2/2026)
RR
Maine
(2/2/2026)
RR
Maryland
(2/2/2026)
RR
Massachusetts
(2/2/2026)
RR
Michigan
(2/2/2026)
RR
Minnesota
(2/2/2026)
RR
Mississippi
(2/2/2026)
RR
Missouri
(2/2/2026)
RR
Montana
(2/2/2026)
RR
Nebraska
(2/2/2026)
RR
Nevada
(2/2/2026)
RR
New Hampshire
(2/2/2026)
RR
New Jersey
(2/2/2026)
RR
New Mexico
(2/2/2026)
RR
New York
(2/2/2026)
RR
North Carolina
(2/2/2026)
RR
North Dakota
(2/2/2026)
RR
Ohio
(2/3/2026)
RR
Oklahoma
(2/2/2026)
RR
Oregon
(2/2/2026)
RR
Pennsylvania
(2/2/2026)
RR
Rhode Island
(2/2/2026)
RR
South Carolina
(2/2/2026)
RR
South Dakota
(2/2/2026)
RR
Tennessee
(2/2/2026)
RR
Texas
(2/2/2026)
RR
Utah
(2/2/2026)
RR
Vermont
(2/2/2026)
RR
Virginia
(2/2/2026)
RR
Washington
(2/2/2026)
RR
West Virginia
(2/2/2026)
RR
Wisconsin
(2/2/2026)
RR
Wyoming
(2/2/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/2026
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/12/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/23/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/28/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/26/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

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)
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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)

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 OPERATIONS OFFICER5716365
PECCATIELLO, ANTHONY JOSEPHCHIEF FINANCIAL 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#: 7927Chicago, IL 60675

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