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Steven N. Schenker
GREAT LAKES ADVISORS
Chicago, IL 60604
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CRD#: 2368195
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Professional summary
Steven Neil Schenker is a registered financial advisor currently at GREAT LAKES ADVISORS, LLC located in Chicago, Illinois.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Steven has worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
GREAT LAKES ADVISORS IS LOCATED AT 222 S. RIVERSIDE PLAZA 28TH FLOOR, CHICAGO, IL 60606. INVESTMENT-RELATED, AFFILIATED INVESTMENT ADVISOR. POSITION IS AN PORTFOLIO MANAGER ROLE WITH� 2 HOURS PER MONTH, OF WHICH2 HOURS PER MONTH ARE DURING SECURITIES TRADING HOURS. RESPONSIBILITIES INCLUDES CLIENT SERVICE AND PORTFOLIO MANAGEMENT.� START DATE OF POSITION IS 11/01/2008. WHI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WHI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WHI'S BUSINESS.
CHICAGO TRUST COMPANY IS LOCATED AT 959 S. WAUKEGAN ROAD 60045. INVESTMENT-RELATED, AFFILIATED ENTITY. POSITION IS AN ASSISTANT VP / PORTFOLIO MANAGER ROLE WITH� 160 HOURS PER MONTH, OF WHICH 35 HOURS PER MONTH ARE DURING SECURITIES TRADING HOURS. RESPONSIBILITIES INCLUDES CLIENT SERVICE, STRATEGIC PLANNING AND PORTFOLIO MANAGEMENT.� START DATE OF POSITION IS 11/01/2008. WHI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WHI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WHI'S BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Neil Schenker's 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®
NoneExperience
Current
November 6, 2008 - Present
GREAT LAKES ADVISORS, LLC
Office #1: 231 S. Lasalle Street 4th Floor, Chicago, IL 60604RIA
CRD#: 110757
Chicago, IL
Past
November 6, 2008 - December 31, 2013
WINTRUST INVESTMENTS LLC
RIA
CRD#: 875
LAKE FOREST, IL
Past
November 6, 2008 - December 31, 2013
WINTRUST INVESTMENTS LLC
BD
CRD#: 875
LAKE FOREST, IL
Past
November 21, 2006 - September 29, 2008
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
BANNOCKBURN, IL
Past
September 13, 2006 - September 29, 2008
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
BANNOCKBURN, IL
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".
GREAT LAKES ADVISORS, LLC
FOCUSED ADVISORS | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT | WINTRUST CAPITAL MANAGEMENT, LLC | WAYNE HUMMER PREMIER ADVISORS | WAYNE HUMMER MANAGEMENT CO | WAYNE HUMMER INVESTMENT MANAGEMENT SERVICES | WAYNE HUMMER ASSET MANAGEMENT COMPANY, L.L.C. | WAYNE HUMMER ASSET MANAGEMENT COMPANY | LAKE FOREST CAPITAL MANAGEMENT COMPANY | GREAT LAKES ADVISORS, LLC | GREAT LAKES ADVISORS, INC. | GREAT LAKES ADVISORS HOLDINGS, LLC
CRD#: 110757 / SEC#: 801-16937
RIA
Registered Investment Advisory firm - (3/24/1982 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.Highlighted states indicate IAR registrations
IAR
Illinois(11/6/2008)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
GREAT LAKES ADVISORS, LLC
FOCUSED ADVISORS | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT | WINTRUST CAPITAL MANAGEMENT, LLC | WAYNE HUMMER PREMIER ADVISORS | WAYNE HUMMER MANAGEMENT CO | WAYNE HUMMER INVESTMENT MANAGEMENT SERVICES | WAYNE HUMMER ASSET MANAGEMENT COMPANY, L.L.C. | WAYNE HUMMER ASSET MANAGEMENT COMPANY | LAKE FOREST CAPITAL MANAGEMENT COMPANY | GREAT LAKES ADVISORS, LLC | GREAT LAKES ADVISORS, INC. | GREAT LAKES ADVISORS HOLDINGS, LLC
CRD#: 110757 / SEC#: 801-16937
RIA
Registered Investment Advisory firm - (3/24/1982 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
231 S. Lasalle Street 4th Floor, Chicago, IL 60604
Mailing Address
Po Box 750, Chicago, IL 60606-0750
Phone number
(312) 431-1700
Established
Firm type
Fiscal year end
# of Employees
86
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,771 |
| AUM (Assets Under Management) | $ 15,298,949,943 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 09/27/2023 |
Red Flags
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