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Richard Charles Peterson

Northern Trust Securities, Inc.

Boca Raton, FL

Ft. Lauderdale, FL

Chicago, IL

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Current Employers
Northern Trust Securities, Inc.

333 S. Wabash Avenue 34Th Floor, Chicago, IL 60604 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2015-02-19
  • FL RA
    APPROVED
    Since 2015-02-19

Branch Locations

3100 North Military Trail, Boca Raton, FL 33431 • United States

1100 E Las Olas Blvd, Ft. Lauderdale, FL 33301 • United States

50 South Lasalle, Chicago, IL 60603 • 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
OrganizationCityStateFromTo
Northern Trust Securities Inc N Palm Beach FL 04/2012 Present
Previous Registrations
  • 2008-03-12 → 2009-12-31
    Northern Trust Securities, Inc.
    Boca Raton, FL
    Miami, FL
    Miami, FL
    Coral Gables, FL
    Key Biscayne, FL
    Ft. Lauderdale, FL
    Tampa, FL
    Aventura, FL
    North Palm Beach, FL
    Delray Beach, FL
    Ft. Lauderdale, FL
    West Palm Beach, FL
    Weston, FL
    Naples, FL
    Vero Beach, FL
    Bradenton, FL
    Sarasota, FL
    Naples, FL
    Bonita Springs, FL
    Wilmington, DE
    Miami, FL
    New York, NY
    Ft. Myers, FL
  • 2004-12-02 → 2008-02-14
    Pnc Wealth Management Llc
    Oakton, VA
    Washington, DC
    Potomac, MD
    Vienna, VA
    Bethesda, MD
    Washington, DC
    Clinton, MD
    Alexandria, VA
    Falls Church, VA
    Washington, DC
    Washington, DC
    Fairfax, VA
    Washington, DC
    Mclean, VA
    Washington, DC
    Dulles, VA
    Washington, DC
    Herndon, VA
    Washington, DC
    Rockville, MD
    Washington, DC
    Washington, DC
    Arlington, VA
    Sterling, VA
    Washington, DC
    Bethesda, MD
    Oxon Hill, MD
    Washington, DC
    Arlington, VA
    Washington, DC
    Burke, VA
    Washington, DC
    Fairfax, VA
    Washington, DC
    Alexandia, VA
    Silver Springs, MD
    Arlington, VA
    Alexandria, VA
    Woodbridge, VA
    Fairfax, VA
    Greenbelt, MD
    Beltsville, MD
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Laurel, MD
  • 2004-01-15 → 2004-09-17
    Colonial Asset Management Inc
    Montgomery, AL
  • 2002-06-12 → 2002-08-09
    Bbva Compass Investment Solutions, Inc
    Birmingham, AL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-02-12
S63 Uniform Securities Agent State Law Examination 1987-04-21
  • S66 Uniform Combined State Law Examination
    2015-02-12
  • S63 Uniform Securities Agent State Law Examination
    1987-04-21
Other Names
  • Rick Peterson

View on SEC IAPD

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