Christy A. Coon
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.
Christy Arlene Coon, CFP® was a registered financial professional .
Christy is a previously registered financial professional and started their career in finance in 1984. Christy had worked at 11 firms and has passed the Series 66, Series 65, Series 63 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
June 20, 2011 - December 31, 2013
WINTRUST INVESTMENTS LLC
June 20, 2011 - February 6, 2025
GREAT LAKES ADVISORS, LLC
June 17, 2011 - December 31, 2013
WINTRUST INVESTMENTS LLC
October 1, 2008 - June 14, 2011
J.P. MORGAN SECURITIES LLC
October 1, 2008 - June 14, 2011
J.P. MORGAN SECURITIES LLC
September 27, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 1, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
February 23, 2006 - September 27, 2006
BANC ONE SECURITIES CORPORATION
February 23, 2006 - July 1, 2006
BANC ONE SECURITIES CORPORATION
October 31, 2003 - January 14, 2005
BANC ONE SECURITIES CORPORATION
October 23, 2003 - January 14, 2005
BANC ONE SECURITIES CORPORATION
March 4, 1996 - September 4, 1996
TARPON SCURRY INVESTMENTS, INC.
March 27, 1991 - December 31, 1995
WATERSTONE FINANCIAL GROUP, INC.
August 25, 1989 - March 27, 1991
PRUDENTIAL EQUITY GROUP, LLC
April 18, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
February 26, 1985 - April 27, 1989
MORGAN STANLEY DW INC.
November 21, 1984 - December 17, 1984
CHESLEY AND DUNN, 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
Current 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.
