Ramon R. Canent
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.
Ramon Randall Canent, who also goes by R Randall Canent, Randy Canent, was a registered financial professional .
Ramon is a previously registered financial professional and started their career in finance in 2005. Ramon had worked at 7 firms and has passed the Series 66, SIE 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
July 28, 2020 - December 20, 2022
WINTRUST INVESTMENTS LLC
July 28, 2020 - December 20, 2022
GREAT LAKES ADVISORS, LLC
July 28, 2020 - October 7, 2022
WINTRUST INVESTMENTS LLC
October 29, 2019 - January 7, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 29, 2019 - January 7, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 5, 2017 - January 25, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 5, 2017 - January 25, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 29, 2006 - January 26, 2017
BLACKROCK INVESTMENT MANAGEMENT, LLC
September 29, 2006 - January 26, 2017
BLACKROCK INVESTMENTS, LLC
November 10, 2005 - September 29, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
September 27, 2005 - September 29, 2006
FAM DISTRIBUTORS, 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.
