Shellee B. Spagnoletto

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CRD#: 2467668

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.

Shellee Beth Spagnoletto, who also goes by Shellee Maides, Shellee Toffe, was a registered financial professional .

Shellee is a previously registered financial professional and started their career in finance in 1994. Shellee had worked at 6 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shellee Maides | Shellee Toffe

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 23, 2008 - September 28, 2012

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

ATLANTA, GA

Past

March 18, 2008 - December 31, 2009

NORTHERN TRUST SECURITIES, INC.

RIA

CRD#: 7927

ATLANTA, GA

Past

November 2, 2005 - December 31, 2007

NORTHERN TRUST SECURITIES, INC.

RIA

CRD#: 7927

ATLANTA, GA

Past

January 29, 2003 - April 13, 2005

SOUTHTRUST SECURITIES, LLC

CRD#: 17922

BIRMINGHAM, AL

Past

June 15, 2002 - October 18, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 24, 2000 - June 15, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

March 8, 1995 - June 2, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

April 27, 1994 - March 14, 1995

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHERN TRUST SECURITIES, INC.

JEROME HICKEY ASSOCIATES, INC. | NORTHERN TRUST SECURITIES, INC. | NORTHERN TRUST SECURITIES, INC | NORTHERN TRUST BROKERAGE, INC.

CRD#: 7927 / SEC#: 801-80781, 8-23689

RIA

Registered Investment Advisory firm - SEC (1/2/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/27/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/8/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 4/25/1994

General Securities Representative Examination

Current Firm

NORTHERN TRUST SECURITIES, INC.

JEROME HICKEY ASSOCIATES, INC. | NORTHERN TRUST SECURITIES, INC. | NORTHERN TRUST SECURITIES, INC | NORTHERN TRUST BROKERAGE, INC.

CRD#: 7927 / SEC#: 801-80781, 8-23689

RIA

Registered Investment Advisory firm - SEC (1/2/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

333 S. Wabash Avenue 34th Floor, Chicago, IL 60604

Mailing Address

333 S. Wabash Avenue, Chicago, IL 60604

Phone number

(312) 557-2000

Established

Delaware since 04/05/1979

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NORTHERN TRUST SECURITIES, INC. (7/8/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/21/2025	Cover Page	Report
09/25/2024	Cover Page	Report
08/23/2023	Cover Page	Report

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.

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Firm Stability Insights

Shellee B. Spagnoletto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHERN TRUST SECURITIES, INC.

NORTHERN TRUST SECURITIES, INC.

SOUTHTRUST SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

FIRST UNION BROKERAGE SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

NORTHERN TRUST SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/27/2010

Series 65

Date: 8/8/2001

Series 7

Date: 4/25/1994

Current Firm

NORTHERN TRUST SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

NORTHERN TRUST SECURITIES, INC.

TRUST BUT VERIFY

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