Riccardo Margaritelli
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.
Riccardo Margaritelli, who also goes by Riccardo Margarielli, was a registered financial professional .
Riccardo is a previously registered financial professional and started their career in finance in 2011. Riccardo had worked at 7 firms and has passed the Series 66, Series 3, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2022 - July 9, 2024
NORTHERN TRUST INVESTMENTS, INCORPORATED
May 10, 2022 - July 9, 2024
NORTHERN TRUST SECURITIES, INC.
October 14, 2020 - October 27, 2020
KESTRA ADVISORY SERVICES, LLC
May 26, 2020 - October 27, 2020
KESTRA INVESTMENT SERVICES, LLC
February 9, 2016 - May 19, 2017
IHT WEALTH MANAGEMENT LLC
March 20, 2015 - September 8, 2016
LPL FINANCIAL LLC
March 20, 2015 - May 23, 2017
LPL FINANCIAL LLC
May 11, 2011 - March 23, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 2011 - March 23, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
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 INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,475 |
| AUM (Assets Under Management) | $ 1,114,770,223,733 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 09/27/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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