Marie E. Dzanis
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.
Marie Ellen Dzanis, who also goes by Marie Ellen Mcgee, Marie Mcgee, Marie Ellen Shott, Marie Ellen Teresa Shott, was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1990. Marie had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 51, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2011 - April 3, 2018
NORTHERN TRUST SECURITIES, INC.
July 24, 2008 - February 5, 2010
BLACKROCK FUND DISTRIBUTION COMPANY
September 4, 2007 - February 5, 2010
BLACKROCK FUND ADVISORS
September 4, 2007 - December 31, 2009
BLACKROCK EXECUTION SERVICES
January 1, 2005 - August 3, 2007
JPMORGAN DISTRIBUTION SERVICES, INC.
July 19, 2002 - January 1, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
July 19, 2001 - June 14, 2002
CITIGROUP GLOBAL MARKETS INC.
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
May 19, 1993 - June 14, 2002
CITIGROUP GLOBAL MARKETS INC.
February 5, 1990 - September 5, 1990
W.J. NOLAN & COMPANY, INC.
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.
