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231 S. Lasalle Street 4Th Floor, Chicago, IL 60604 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2026-01-09 |
Branch Locations
231 S. Lasalle Street 4Th Floor, Chicago, IL 60604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wayne Hummer Investments L.L.C. | Chicago | IL | 10/1994 | Present |
Wintrust Investments is located at 231 S. LaSalle St. 13th Floor, Chicago, IL 60604. Affiliated firm with position of Chief Compliance Officer. Hours dedicated are approx. 20 hours per month. Responsibilities include manage compliance team staff and implement and manage firm compliance program. Start date 10/1994. The outside activity has been reviewed and determined that the activity 1) does not interfere or compromise employee responsibilities to GLA and 2) is not viewed to the public as part of GLA's business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 1987-04-10 |
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