Carol A. Mcginnis

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Elmhurst, IL 60126-1131

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CRD#: 1182849

Professional summary

Carol Anne Mcginnis, who also goes by Carol Mcginnis, is a registered financial advisor currently at LASALLE ST. INVESTMENT ADVISORS, L.L.C. located in Elmhurst, Illinois and LASALLE ST SECURITIES, L.L.C. located in Elmhurst, Illinois.

Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Carol has worked at 3 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carol Mcginnis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Anne Mcginnis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 10, 2022 - Present

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Office #1: 940 N. Industrial Dr., Elmhurst, IL 60126-1131

RIA

CRD#: 109701

Elmhurst, IL

Current

October 24, 2006 - Present

LASALLE ST SECURITIES, L.L.C.

Office #1: 940 N. Industrial Dr., Elmhurst, IL 60126-1131Office #2: 940 N. Industrial Dr., Elmhurst, IL 60126-1131

CRD#: 7191

Elmhurst, IL

Past

June 10, 1998 - September 7, 2006

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(10/24/2006)

IAR

Illinois
(1/10/2022)

Nevada
(4/26/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/21/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/16/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/19/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/5/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/16/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 Approved)

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Contact information

Main Address

940 N. Industrial Dr., Elmhurst, IL 60126-1131

Mailing Address

Phone number

(630) 600-0500

Established

Firm type

Fiscal year end

# of Employees

144

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LSIA ADV PART 2A 01-02-18 (12/3/2025)

Regulatory assets under management

Total Number of Accounts	11,941
AUM (Assets Under Management)	$ 4,346,509,887

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.

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Advisor Monitoring

Firm Stability Insights

Carol A. Mcginnis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Anne Mcginnis's CRS (Customer Relationship Summary).

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/21/2020

Series 63

Date: 7/9/1999

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/16/2001

Series 7

Date: 1/19/1999

Series 6

Date: 6/5/1998

Series 24

Date: 7/16/2007

FINRA

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

TRUST BUT VERIFY

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