Beth V. Opperman
Professional summary
Beth Verdoes Opperman, who also goes by Beth Ann Harp, Beth Ann Opperman, Beth Verdoes Opperman, Beth Ann Verdoes, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Denver, Colorado.
Beth is registered as a RR (Registered Representative) and started their career in finance in 1993. Beth has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Beth Verdoes Opperman's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 5, 2026 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 1401 Lawrence Street Suite 1500, Denver, CO 80202November 21, 2016 - November 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
October 26, 2016 - November 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - October 19, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - October 19, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 19, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 19, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 6, 2001 - May 4, 2005
WELLS FARGO INVESTMENTS, LLC
July 18, 1995 - June 17, 1999
ARK FUNDS DISTRIBUTORS, LLC
July 19, 1993 - September 9, 1993
DICKINSON & CO.
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
(8/6/2026)
(8/7/2026)
(8/5/2026)
(8/5/2026)
(8/6/2026)
(8/6/2026)
Exams
Series 7TO
Date: 3/14/2024
General Securities Representative ExaminationFINRA
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 | DIRECTOR | 4255568 |
| CHERRY, JON VINCENT | PRESIDENT | 4255568 |
| DEVITA, DINO ANTHONY | DIRECTOR | 3022063 |
| 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.
