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WINTRUST INVESTMENTS LLC
FCB ADVISORS, WINTRUST WEALTH SERVICES, WINTRUST WEALTH MANAGEMENT, WINTRUST PRIVATE CLIENT GROUP, WINTRUST INVESTMENTS, LLC…
CRD#: 875/SEC#: 801-64233,8-484
B
Brokerage Firm Regulated by FINRA (Chicago district office)
PR
Previously Registered Investment Adviser FirmVisit SEC Site
MAIN ADDRESS
231 SOUTH LASALLE STREET
13TH FLOOR
CHICAGO, IL 60604 UNITED STATES
Disclosures
5 Total Disclosures
5Regulatory Event
For details of these disclosures as well as disclosures involving non-registered affiliated entities refer to the Detailed Report. For disclosures involving registered affiliated entities visit the BrokerCheck page for those firms.
General Information
Main Office Location 231 SOUTH LASALLE STREET
13TH FLOOR
CHICAGO, IL 60604 UNITED STATES
Mailing Address P.O. BOX 750
CHICAGO, IL 60690-0750 UNITED STATES
Phone312-431-6569
Established inDelaware since 01/31/1996
TypeLimited Liability Company
Fiscal Year End December
Direct Owners and Executive Officers
NamePosition
WINTRUST BANK SOLE DIRECT OWNER
CARLISLE, PAUL CLAYTON (CRD#: 6314743) DIRECTOR
CORBETT, JAMES EDWARD (CRD#:2371982) CHIEF OPERATIONS OFFICER
GETZ, BERT ATWATER JR (CRD#: 4588181) DIRECTOR
GLABE, MARLA FRIEDMAN (CRD#: 2339176) DIRECTOR
HEITMANN, SCOTT KEITH (CRD#: 2351200) DIRECTOR
KAMRADT, MICHAEL PAUL (CRD#: 1562014) DIRECTOR
MCKINNEY, SUZET MEYLIEU (CRD#: 7069598) DIRECTOR
SARILLO, CELENA ROLDAN (CRD#: 7069597) DIRECTOR
SILVER, ELLIOTT JOSEPH (CRD#:1594446) CHIEF COMPLIANCE OFFICER
SMYTH, MICHAEL J (CRD#:2802717) CHIEF FINANCIAL OFFICER
SOMMERFIELD, JAMES ALFRED JR (CRD#:2841304) SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL
STAFFORD, INGRID S. (CRD#: 7497076) DIRECTOR
ZIDAR, THOMAS PATRICK (CRD#:2128329) CHAIRMAN & CEO
WINTRUST BANK
SOLE DIRECT OWNER

CARLISLE, PAUL CLAYTON (CRD#: 6314743)
DIRECTOR


GETZ, BERT ATWATER JR (CRD#: 4588181)
DIRECTOR

GLABE, MARLA FRIEDMAN (CRD#: 2339176)
DIRECTOR

HEITMANN, SCOTT KEITH (CRD#: 2351200)
DIRECTOR

KAMRADT, MICHAEL PAUL (CRD#: 1562014)
DIRECTOR

MCKINNEY, SUZET MEYLIEU (CRD#: 7069598)
DIRECTOR

SARILLO, CELENA ROLDAN (CRD#: 7069597)
DIRECTOR


CHIEF FINANCIAL OFFICER

SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL

STAFFORD, INGRID S. (CRD#: 7497076)
DIRECTOR


Licenses
52 U.S. States and Territories
B
Alabama

B
Alaska

B
Arizona

B
Arkansas

B
California

B
Colorado

B
Connecticut

B
Delaware

B
District of Columbia

B
Florida

B
Georgia

B
Hawaii

B
Idaho

B
Illinois

B
Indiana

B
Iowa

B
Kansas

B
Kentucky

B
Louisiana

B
Maine

B
Maryland

B
Massachusetts

B
Michigan

B
Minnesota

B
Mississippi

B
Missouri

B
Montana

B
Nebraska

B
Nevada

B
New Hampshire

B
New Jersey

B
New Mexico

B
New York

B
North Carolina

B
North Dakota

B
Ohio

B
Oklahoma

B
Oregon

B
Pennsylvania

B
Rhode Island

B
South Carolina

B
South Dakota

B
Tennessee

B
Texas

B
Utah

B
Vermont

B
Virgin Islands

B
Virginia

B
Washington

B
West Virginia

B
Wisconsin

B
Wyoming

Other Registrations
Federal
SEC

Self-Regulatory Organizations
FINRA
This firm conducts 13 types of business

This firm is affiliated with financial and investment institutions

This firm does have referral or financial arrangements with other brokers or dealers
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

Click here for more information about how to check on an investment professional.

B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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