Elizabeth M. Sfreddo
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.
Elizabeth Mary Sfreddo, who also goes by Elizabeth Mary Taddei, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2014. Elizabeth had worked at 5 firms and has passed the Series 63, Series 65, 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
August 1, 2017 - November 12, 2024
NORTHERN TRUST INVESTMENTS, INCORPORATED
July 13, 2017 - November 12, 2024
NORTHERN TRUST SECURITIES, INC.
October 24, 2016 - September 6, 2017
LIDO
December 12, 2014 - October 11, 2016
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
August 25, 2014 - November 10, 2014
BEAUMONT FINANCIAL PARTNERS LLC
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
