Mark Kierna

Northern Trust Investments, Incorporated

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Current Employers

Northern Trust Investments, Incorporated

50 S Lasalle Street, Chicago, IL 60603-1008 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2025-03-05

IL RA
APPROVED

Since 2025-03-05

Branch Locations

181 West Madison, Chicago, IL 60603 • United States

50 S Lasalle Street, Chicago, IL 60603-1008 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Nuveen Asset Management, Llc	Chicago	IL	11/2010	04/2023
Calamos Financial Services Llc	Naperville	IL	06/2023	02/2025
Northern Trust	Chicago	IL	03/2025	Present
Northern Trust Securities, Inc.	Chicago	IL	03/2025	Present

11/2010 → 04/2023

Nuveen Asset Management, Llc

Chicago, IL
06/2023 → 02/2025

Calamos Financial Services Llc

Naperville, IL
03/2025 → Present

Northern Trust

Chicago, IL
03/2025 → Present

Northern Trust Securities, Inc.

Chicago, IL

Previous Registrations

2023-06-16 → 2025-03-03

Calamos Advisors Llc

Naperville, IL

Chicago, IL
2011-09-01 → 2023-04-11

Nuveen Asset Management, Llc

Chicago, IL
2011-01-20 → 2011-09-01

Nuveen Fund Advisors, Llc

Chicago, IL
2009-06-01 → 2010-12-16

Morgan Stanley

Deerfield, IL
2008-03-10 → 2009-06-01

Citigroup Global Markets Inc.

Deerfield, IL

Oakbrook Terrace, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-03-04

S66 Uniform Combined State Law Examination

2008-03-04

Other Names

Mark Allen Kierna

View on SEC IAPD

Other Firms

BROWNSON, REHMUS & FOXWORTH, INC.

PFINGSTEN PARTNERS, L.L.C.

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

GUGGENHEIM INVESTMENTS

PEKIN HARDY STRAUSS, INC.

SPIDERROCK ADVISORS, LLC

PROSPECT PARTNERS ADVISORS LLC

DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch

HAROLD NELSON LEAVELL

CARLYLE KELLY MADDEN

PHILIP JOHN RIDOLPHI

SUSAN MARY SHACKLETTE

KRISTI LYNN MILLS

NATHANIEL MITCHELL COLEMAN

KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL

PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL

GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

GUGGENHEIM INVESTMENTS · CHICAGO, IL

PEKIN HARDY STRAUSS, INC. · CHICAGO, IL

SPIDERROCK ADVISORS, LLC · CHICAGO, IL

PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL

DOYENNE WEALTH ADVISORS · CHICAGO, IL

More in Chicago, IL

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