Elizabeth D. Stobbs
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Elizabeth Dunn Stobbs, who also goes by Elizabeth Stobbs, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1986. Elizabeth had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2022 - February 4, 2025
NORTHERN TRUST SECURITIES, INC.
September 21, 2007 - August 17, 2018
HILLTOP SECURITIES INC.
March 22, 2006 - September 19, 2007
STERNE, AGEE & LEACH, INC.
July 11, 2005 - April 3, 2006
CABRERA CAPITAL MARKETS, LLC
November 1, 2004 - April 4, 2005
JEFFERIES LLC
April 13, 2004 - November 1, 2004
BONDS DIRECT SECURITIES LLC
December 10, 2002 - April 6, 2004
MELVIN SECURITIES, L.L.C.
July 20, 2000 - October 5, 2001
BRIDGE TRADING COMPANY
September 14, 1999 - January 3, 2000
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 4, 1990 - July 8, 1999
WELLS FARGO CLEARING SERVICES, LLC
August 19, 1988 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
February 19, 1986 - June 7, 1988
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
Contact information
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.
