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IVY ROMERA DAILY
CRD#: 4267549
IA
Investment Adviser
B
Broker
NORTHERN TRUST SECURITIES, INCCRD#: 7927 333 South Wabash Avenue
34th Floor
CHICAGO, IL 60604
Registration History
20022004200620082010201220142016201820202022202420263 FIRMS2006 - 2006 (<1 year)4 FIRMS2005 - 2006 (1 year)IANORTHERN TRUST SECURITIES, INC (CRD# 7927)2015 - Present (9 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2013 - Present (11 years)BSTONEWALL INVESTMENTS, INC. (CRD# 8564)2005 - 2013 (8 years)BMORPHEUS SECURITIES LLC (CRD# 45561)2013 - 2013 (<1 year)BCA FUNDS GROUP, INC. (CRD# 151193)2010 - 2011 (1 year)BNORTH SOUTH CAPITAL, LLC (CRD# 148158)2009 - 2009 (<1 year)BKINGSBURY CAPITAL, LLC (CRD# 147102)2008 - 2009 (<1 year)BRIVERSIDE SECURITIES, INC. (CRD# 15005)2008 - 2008 (<1 year)BALARON FINANCIAL SERVICES (CRD# 45416)2006 - 2007 (1 year)BLASALLE ST SECURITIES, L.L.C. (CRD# 7191)2004 - 2004 (<1 year)BLASALLE ST SECURITIES, L.L.C. (CRD# 7191)2001 - 2003 (2 years)
License(s)

State Registrations

B
Illinois 11/4/2013

IA
Illinois 4/7/2015

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHERN TRUST SECURITIES, INC (CRD#:7927)
333 South Wabash Avenue 34th Floor, CHICAGO, IL 60604
Chicago, IL
Registered with this firm since 4/7/2015

B
NORTHERN TRUST SECURITIES, INC. (CRD#:7927)
333 South Wabash Avenue 34th Floor, CHICAGO, IL 60604
Chicago, IL
Registered with this firm since 11/4/2013

Previous Registration(s)
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B
07/06/2005 - 12/04/2013 STONEWALL INVESTMENTS, INC. (CRD#:8564) CHICAGO, IL
B
07/18/2013 - 11/08/2013 MORPHEUS SECURITIES LLC (CRD#:45561) WEST ORANGE, NJ
B
04/30/2010 - 04/04/2011 CA FUNDS GROUP, INC. (CRD#:151193) GLEN ELLYN, IL
B
04/16/2009 - 09/01/2009 NORTH SOUTH CAPITAL, LLC (CRD#:148158) NEW LENOX, IL
B
10/10/2008 - 03/03/2009 KINGSBURY CAPITAL, LLC (CRD#:147102) EVANSTON, IL
B
05/29/2008 - 06/24/2008 RIVERSIDE SECURITIES, INC. (CRD#:15005) CHICAGO, IL
B
07/20/2006 - 12/04/2007 ALARON FINANCIAL SERVICES (CRD#:45416) CHICAGO, IL
B
12/19/2005 - 12/11/2006 D R F BUSINESS AND FINANCIAL SERVICES, LLC (CRD#:127921) NEW YORK, NY
B
08/21/2006 - 12/07/2006 ENERGY SECURITIES, INC. (CRD#:101220) BRENTWOOD, TN
B
08/22/2006 - 11/13/2006 FULCRUM SECURITIES, INC. (CRD#:140084)
FINRA expelled the firm on 03/13/2018
SAINT LOUIS, MO
B
11/03/2005 - 09/01/2006 OCTAGON TRADING GROUP, LLC (CRD#:45500) NEW YORK, NY
B
12/20/2005 - 08/31/2006 J. SCOTT SECURITIES CORP. (CRD#:47007) GOLDEN, CO
B
01/25/2006 - 08/02/2006 DIRECT CAPITAL SECURITIES, INC. (CRD#:29639) AUSTIN, TX
B
10/26/2005 - 01/12/2006 USF SECURITIES, L.P. (CRD#:37942) HOUSTON, TX
B
05/07/2004 - 12/31/2004 LASALLE ST SECURITIES, L.L.C. (CRD#:7191) ELMHURST, IL
B
02/22/2001 - 04/02/2003 LASALLE ST SECURITIES, L.L.C. (CRD#:7191) ELMHURST, IL
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Disclosures
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