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Richard Michael Rokus

Great Lakes Advisors, LLC

Chicago, IL

CRD 2024603

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Employer firm

Great Lakes Advisors, LLC CRD 110757

$16.2B regulatory AUM 16 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Great Lakes Advisors, Llc

231 S. Lasalle Street 4Th Floor, Chicago, IL 60604 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-02-02
IL RA APPROVED 2026-01-09
WI RA APPROVED 2026-01-09
  • TX RA
    APPROVED
    Since 2026-02-02
  • IL RA
    APPROVED
    Since 2026-01-09
  • WI RA
    APPROVED
    Since 2026-01-09

Branch Locations

231 S. Lasalle Street 4Th Floor, Chicago, IL 60604 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Great Lakes Advisors Hartland WI 01/2011 Present
Unemployed Hartland WI 03/2010 Present
  • 01/2011 → Present
    Great Lakes Advisors
    Hartland, WI
  • 03/2010 → Present
    Unemployed
    Hartland, WI
Previous Registrations
  • 2011-09-09 → 2025-12-31
    Great Lakes Advisors, Llc
    Chicago, IL
  • 1993-06-04 → 2010-04-29
    M&I Investment Management Corp.
    Milwaukee, WI
    Milwaukee, WI
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-03-08
S65 Uniform Investment Adviser Law Examination 1993-05-12
  • S63 Uniform Securities Agent State Law Examination
    1994-03-08
  • S65 Uniform Investment Adviser Law Examination
    1993-05-12
Designations
  • Chartered Financial Analyst

View on SEC IAPD

Nearby Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

More in Chicago, IL

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