Henry P. Rawlins

NORTHERN TRUST SECURITIES

Chicago, IL 60603

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CRD#: 7275627

Professional summary

Henry Philip Rawlins, who also goes by Henry Rawlins, is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.

Henry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Henry has worked at 2 firms and has passed the Series 66, Series 63, Series 52TO, Series 7TO, SIE, Series 53, Series 4, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Henry Rawlins

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 Henry Philip Rawlins's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Henry Philip Rawlins'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

February 27, 2024 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 50 South Lasalle, Chicago, IL 60603

RIA

CRD#: 7927

Chicago, IL

Current

January 10, 2024 - Present

NORTHERN TRUST SECURITIES, INC.

Office #1: 50 South Lasalle, Chicago, IL 60603

RIA

CRD#: 7927

Chicago, IL

Past

September 12, 2020 - January 10, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Milwaukee, WI

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)

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.

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
(1/10/2024)

Alaska
(1/10/2024)

Arizona
(1/10/2024)

Arkansas
(1/10/2024)

California
(1/10/2024)

Colorado
(1/10/2024)

Connecticut
(1/10/2024)

Delaware
(1/10/2024)

District of Columbia
(1/10/2024)

Florida
(1/10/2024)

Georgia
(1/10/2024)

Hawaii
(1/10/2024)

Idaho
(1/10/2024)

Illinois
(1/10/2024)

IAR

Illinois
(2/27/2024)

Indiana
(1/10/2024)

Iowa
(1/10/2024)

Kansas
(1/10/2024)

Kentucky
(1/10/2024)

Louisiana
(1/10/2024)

Maine
(1/10/2024)

Maryland
(1/10/2024)

Massachusetts
(1/10/2024)

Michigan
(1/10/2024)

Minnesota
(1/10/2024)

Mississippi
(1/10/2024)

Missouri
(1/10/2024)

Montana
(1/10/2024)

Nebraska
(1/10/2024)

Nevada
(1/10/2024)

New Hampshire
(1/10/2024)

New Jersey
(1/10/2024)

New Mexico
(1/10/2024)

New York
(1/10/2024)

North Carolina
(1/10/2024)

North Dakota
(1/10/2024)

Ohio
(1/10/2024)

Oklahoma
(1/10/2024)

Oregon
(1/10/2024)

Pennsylvania
(1/10/2024)

Puerto Rico
(1/10/2024)

Rhode Island
(1/10/2024)

South Carolina
(1/10/2024)

South Dakota
(1/10/2024)

Tennessee
(1/10/2024)

Texas
(1/10/2024)

Utah
(1/10/2024)

Vermont
(1/10/2024)

Virgin Islands
(1/10/2024)

Virginia
(1/10/2024)

Washington
(1/10/2024)

West Virginia
(1/10/2024)

Wisconsin
(1/10/2024)

Wyoming
(1/10/2024)

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: 1/29/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/3/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 2/23/2024

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7TO

Date: 9/12/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/31/2020

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 53

Date: 3/1/2024

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 2/12/2024

Registered Options Principal Examination

Principal/Supervisory Exam

Series 10

Date: 3/19/2022

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/19/2022

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 10/8/2021

General Securities Principal Examination

SRO Registrations

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)

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

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

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

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

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Advisor Monitoring

Firm Stability Insights

Henry P. Rawlins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Henry Philip Rawlins's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Henry Philip Rawlins's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN TRUST SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

NORTHERN TRUST SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/29/2024

Series 63

Date: 10/3/2020

Series 52TO

Date: 2/23/2024

Series 7TO

Date: 9/12/2020

SIE

Date: 7/31/2020

Series 53

Date: 3/1/2024

Series 4

Date: 2/12/2024

Series 10

Date: 3/19/2022

Series 9

Date: 2/19/2022

Series 24

Date: 10/8/2021

FINRA

Current Firm

NORTHERN TRUST SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

NORTHERN TRUST SECURITIES, INC.

TRUST BUT VERIFY

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