MF
Michael S. Fardy
NORTHERN TRUST SECURITIES
Boston, MA 02111
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CRD#: 2515253
MF
Professional summary
Michael Samuel Fardy, CIMA® is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Boston, Massachusetts.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Samuel Fardy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
June 22, 2015 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 125 Summer Street 14th Floor, Boston, MA 02111RIA
BD
CRD#: 7927
Boston, MA
Past
September 25, 2013 - March 19, 2014
FUNDS DISTRIBUTOR, LLC
BD
CRD#: 7174
NEW YORK, NY
Past
January 3, 2012 - March 14, 2013
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
BOSTON, MA
Past
November 6, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
BD
CRD#: 146183
BOSTON, MA
Past
August 17, 2005 - December 17, 2013
BLACKROCK FUND ADVISORS
RIA
CRD#: 105247
BOSTON, MA
Past
August 17, 2005 - December 31, 2009
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
BOSTON, MA
Past
September 14, 2004 - June 3, 2005
BNY MELLON SECURITIES CORPORATION
RIA
CRD#: 231
NEW YORK, NY
Past
May 28, 2004 - June 3, 2005
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
October 15, 1998 - April 19, 2004
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
November 3, 1995 - September 29, 1998
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 19, 1994 - November 8, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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)BD
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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/22/2015)
RR
Alaska(6/22/2015)
RR
Arizona(6/22/2015)
RR
Arkansas(6/22/2015)
RR
California(6/22/2015)
RR
Colorado(6/22/2015)
RR
Connecticut(6/22/2015)
RR
Delaware(6/22/2015)
RR
District of Columbia(6/22/2015)
RR
Florida(6/22/2015)
RR
Georgia(6/22/2015)
RR
Hawaii(6/22/2015)
RR
Idaho(6/22/2015)
RR
Illinois(6/22/2015)
RR
Indiana(6/22/2015)
RR
Iowa(6/22/2015)
RR
Kansas(6/22/2015)
RR
Kentucky(6/22/2015)
RR
Louisiana(6/22/2015)
RR
Maine(6/22/2015)
RR
Maryland(6/22/2015)
RR
Massachusetts(6/22/2015)
RR
Michigan(6/22/2015)
RR
Minnesota(6/22/2015)
RR
Mississippi(6/22/2015)
RR
Missouri(6/22/2015)
RR
Montana(6/22/2015)
RR
Nebraska(6/22/2015)
RR
Nevada(6/22/2015)
RR
New Hampshire(6/22/2015)
RR
New Jersey(6/22/2015)
RR
New Mexico(6/22/2015)
RR
New York(6/22/2015)
RR
North Carolina(6/23/2015)
RR
North Dakota(6/22/2015)
RR
Ohio(6/22/2015)
RR
Oklahoma(6/22/2015)
RR
Oregon(6/22/2015)
RR
Pennsylvania(6/22/2015)
RR
Puerto Rico(7/30/2015)
RR
Rhode Island(6/22/2015)
RR
South Carolina(6/22/2015)
RR
South Dakota(6/22/2015)
RR
Tennessee(6/22/2015)
RR
Texas(6/22/2015)
RR
Utah(6/22/2015)
RR
Vermont(6/22/2015)
RR
Virgin Islands(7/30/2015)
RR
Virginia(6/22/2015)
RR
Washington(6/22/2015)
RR
West Virginia(6/22/2015)
RR
Wisconsin(6/22/2015)
RR
Wyoming(6/22/2015)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)BD
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
76
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.
Company Information
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927Boston, MA 02111TRUST BUT VERIFY
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