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Holly Schwartzberg

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CRD#: 2433021
HS

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.

Holly Schwartzberg was a registered financial professional .

Holly is a previously registered financial professional and started their career in finance in 1997. Holly had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 26, 2017 - September 10, 2018

WINTRUST INVESTMENTS LLC

BD
CRD#: 875
LAKE FOREST, IL
Past

July 2, 2016 - November 10, 2016

INSIGHT SECURITIES, INC.

BD
CRD#: 5611
Highland Park, IL
Past

July 21, 2011 - December 28, 2015

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NORTHBROOK, IL
Past

May 13, 2010 - July 25, 2011

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
WINNETKA, IL
Past

June 1, 2009 - March 16, 2010

MORGAN STANLEY

BD
CRD#: 149777
WINNETKA, IL
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
WINNETKA, IL
Past

May 26, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
WINNETKA, IL
Past

August 20, 2002 - May 13, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

November 20, 1998 - November 15, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 5, 1997 - April 16, 1998

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/29/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/10/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/1997
General Securities Representative Examination

Current Firm

WINTRUST INVESTMENTS LLC
WINTRUST INVESTMENTS LLC
WAYNE HUMMER & CO. | WINTRUST WEALTH SERVICES | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT GROUP | WINTRUST INVESTMENTS, LLC | WINTRUST INVESTMENTS LLC | WINTRUST INVESTMENTS INSURANCE AGENCY, LLC | WINTRUST INVESTMENTS | WAYNE HUMMER INVESTMENTS L.L.C. | WAYNE HUMMER INVESTMENTS

CRD#: 875 / SEC#: 801-64233, 8-484

BD
Terminated by SEC on 08/25/2025
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Contact information

Main Address
231 South Lasalle Street 13th Floor, Chicago, IL 60604
Mailing Address
Po Box 750, Chicago, IL 60606-0750
Phone number
(312) 431-1700
Established
Delaware since 01/31/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
178

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

WFA WRAP PROGRAMS BROCHURE (5/20/2024)
WTI ADV PART 2A BROCHURE (5/20/2024)

Direct owners and executive officers

NamePositionCRD#
WINTRUST BANKSOLE DIRECT OWNER
CARLISLE, PAUL CLAYTONDIRECTOR6314743
CORBETT, JAMES EDWARDCHIEF OPERATIONS OFFICER2371982
GETZ, BERT ATWATER JRDIRECTOR4588181
GLABE, MARLA FRIEDMANDIRECTOR2339176
HEITMANN, SCOTT KEITHDIRECTOR2351200
KAMRADT, MICHAEL PAULDIRECTOR1562014
MCKINNEY, SUZET MEYLIEUDIRECTOR7069598
SARILLO, CELENA ROLDANDIRECTOR7069597
SILVER, ELLIOTT JOSEPHCHIEF COMPLIANCE OFFICER1594446
SMYTH, MICHAEL JCHIEF FINANCIAL OFFICER2802717
SOMMERFIELD, JAMES ALFRED JRSR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL2841304
STAFFORD, INGRID S.DIRECTOR7497076
ZIDAR, THOMAS PATRICKCHAIRMAN & CEO2128329

Regulatory assets under management

Total Number of Accounts10,969
AUM (Assets Under Management)$ 14,417,827,726

Disclosures

Regulatory Event5

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2024
Cover Page
Report
09/27/2023
Cover Page
Report
12/09/2022
Cover Page
Report

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.

Company Information

WINTRUST INVESTMENTS LLC

WINTRUST INVESTMENTS LLC

CRD#: 875

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