Max D. Miller
NORTHERN TRUST SECURITIES | Private Wealth Associate
Chicago, IL 60603
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CRD#: 7401744
Professional summary
Max Donald Miller is a registered financial advisor currently at NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.
Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Max has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Biography
As a Private Wealth Associate, Max is primarily responsible for daily account servicing, processing client account requests and other related operations. He works closely with Wealth Advisors to ensure client satisfaction is at the forefront of every process.
Before joining the team, Max was a high-net-worth representative for Charles Schwab. He helped establish relationships with clients and conducted and presented performance reports. Max graduated from the University of Indiana with a Bachelor of Science in public financial management. He holds the FINRA SIE, Series 7 and Series 63 licenses.
Max recently moved to Chicago from Bloomington, Indiana. During his free time, he enjoys playing golf, watching Cincinnati sports and spending time with friends and family!
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Max Donald Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Max Donald Miller'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
April 11, 2024 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 50 South Lasalle, Chicago, IL 60603RIA
BD
CRD#: 7927
Chicago, IL
Current
April 11, 2024 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 50 South Lasalle, Chicago, IL 60603RIA
BD
CRD#: 7927
Chicago, IL
Past
November 6, 2022 - December 5, 2023
HIGHTOWER ADVISORS, LLC
RIA
CRD#: 145323
Deerfield, IL
Past
September 13, 2022 - December 5, 2023
HIGHTOWER SECURITIES, LLC
BD
CRD#: 116681
CHICAGO, IL
Past
December 17, 2021 - August 24, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Indianapolis, IN
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(4/11/2024)
RR
Alaska(4/11/2024)
RR
Arizona(4/11/2024)
RR
Arkansas(4/11/2024)
RR
California(4/11/2024)
RR
Colorado(4/11/2024)
RR
Connecticut(4/11/2024)
RR
Delaware(4/11/2024)
RR
District of Columbia(4/11/2024)
RR
Florida(4/11/2024)
RR
Georgia(4/11/2024)
RR
Hawaii(4/11/2024)
RR
Idaho(4/11/2024)
RR
Illinois(4/11/2024)
IAR
Illinois(4/11/2024)
RR
Indiana(4/11/2024)
RR
Iowa(4/11/2024)
RR
Kansas(4/11/2024)
RR
Kentucky(4/11/2024)
RR
Louisiana(4/11/2024)
RR
Maine(4/11/2024)
RR
Maryland(4/11/2024)
RR
Massachusetts(4/11/2024)
RR
Michigan(4/11/2024)
RR
Minnesota(4/11/2024)
RR
Mississippi(4/11/2024)
RR
Missouri(4/11/2024)
RR
Montana(4/11/2024)
RR
Nebraska(4/11/2024)
RR
Nevada(4/11/2024)
RR
New Hampshire(4/11/2024)
RR
New Jersey(4/11/2024)
RR
New Mexico(4/11/2024)
RR
New York(4/11/2024)
RR
North Carolina(4/11/2024)
RR
North Dakota(4/11/2024)
RR
Ohio(4/12/2024)
RR
Oklahoma(4/11/2024)
RR
Oregon(4/11/2024)
RR
Pennsylvania(4/11/2024)
RR
Rhode Island(4/11/2024)
RR
South Carolina(4/11/2024)
RR
South Dakota(4/11/2024)
RR
Tennessee(4/11/2024)
RR
Texas(4/11/2024)
RR
Utah(4/11/2024)
RR
Vermont(4/11/2024)
RR
Virginia(4/11/2024)
RR
Washington(4/11/2024)
RR
West Virginia(4/11/2024)
RR
Wisconsin(4/11/2024)
RR
Wyoming(4/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/17/2021
General Securities Representative ExaminationGeneral 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.
