Wayne E. Pfennig
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Wayne Edward Pfennig, who also goes by Wayne Edward Pfennig Mr., was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1980. Wayne had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2012 - January 21, 2017
NORTHERN TRUST SECURITIES, INC.
October 1, 2008 - June 3, 2011
J.P. MORGAN SECURITIES LLC
October 1, 2008 - June 3, 2011
J.P. MORGAN SECURITIES LLC
September 29, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
September 22, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
May 19, 2003 - October 13, 2003
BANC ONE SECURITIES CORPORATION
October 17, 2001 - September 13, 2002
FISHER INVESTMENTS
February 1, 1999 - June 1, 2001
BANC ONE SECURITIES CORPORATION
March 24, 1997 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
January 3, 1995 - March 21, 1995
UNITED CAPITAL GROUP, INC.
December 2, 1993 - May 3, 1994
LASALLE FINANCIAL SERVICES, INC.
July 25, 1989 - January 1, 1991
INVESCO CAPITAL MARKETS, INC.
October 27, 1988 - March 7, 1989
HAMILTON INVESTMENTS, INC.
March 7, 1988 - October 1, 1988
STEPHENS
February 27, 1985 - March 14, 1988
RAUSCHER PIERCE REFSNES, INC.
February 22, 1980 - May 4, 1982
CLAYTON BROWN & ASSOCIATES, INC.
Primary Firm SEC Registration
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
Contact information
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.
