Charles W. Dillon
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.
Charles Wren Dillon was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5 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
March 4, 2019 - January 2, 2025
WINTRUST INVESTMENTS LLC
July 26, 2011 - January 2, 2025
GREAT LAKES ADVISORS, LLC
July 25, 2011 - April 24, 2015
WINTRUST INVESTMENTS LLC
March 31, 2010 - July 27, 2011
ACCESSALPHA WORLDWIDE LLC
April 2, 2007 - August 21, 2008
VOYA INVESTMENT MANAGEMENT CO. LLC
April 2, 2007 - August 21, 2008
ING INVESTMENT MANAGEMENT SERVICES LLC
June 18, 1997 - October 16, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
April 2, 1997 - October 16, 2006
FAM DISTRIBUTORS, INC.
November 3, 1989 - August 8, 1995
CONCORD SERVICES L.L.C.
November 8, 1988 - May 2, 1989
LEHMAN BROTHERS INC.
May 26, 1983 - November 22, 1988
THOMSON MCKINNON SECURITIES INC.
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
Series 5
Date: 8/31/1983
Interest Rate Options ExaminationCurrent Firm
WINTRUST INVESTMENTS LLC
CRD#: 875 / SEC#: 801-64233, 8-484
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WINTRUST BANK | SOLE DIRECT OWNER | |
| CARLISLE, PAUL CLAYTON | DIRECTOR | 6314743 |
| CORBETT, JAMES EDWARD | CHIEF OPERATIONS OFFICER | 2371982 |
| GETZ, BERT ATWATER JR | DIRECTOR | 4588181 |
| GLABE, MARLA FRIEDMAN | DIRECTOR | 2339176 |
| HEITMANN, SCOTT KEITH | DIRECTOR | 2351200 |
| KAMRADT, MICHAEL PAUL | DIRECTOR | 1562014 |
| MCKINNEY, SUZET MEYLIEU | DIRECTOR | 7069598 |
| SARILLO, CELENA ROLDAN | DIRECTOR | 7069597 |
| SILVER, ELLIOTT JOSEPH | CHIEF COMPLIANCE OFFICER | 1594446 |
| SMYTH, MICHAEL J | CHIEF FINANCIAL OFFICER | 2802717 |
| SOMMERFIELD, JAMES ALFRED JR | SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL | 2841304 |
| STAFFORD, INGRID S. | DIRECTOR | 7497076 |
| ZIDAR, THOMAS PATRICK | CHAIRMAN & CEO | 2128329 |
Regulatory assets under management
| Total Number of Accounts | 10,969 |
| AUM (Assets Under Management) | $ 14,417,827,726 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 09/27/2023 | ||
| 12/09/2022 |
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.
