Michael J. Smyth
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.
Michael J Smyth was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 8 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2019 - August 26, 2025
WINTRUST INVESTMENTS LLC
July 29, 2013 - November 14, 2014
BMO INVESTMENT DISTRIBUTORS, LLC
March 2, 2011 - November 14, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
March 19, 2007 - September 21, 2007
FIRST NATIONAL INVESTMENTS, INC.
May 8, 2006 - August 12, 2008
BMO HARRIS FINANCIAL ADVISORS, INC.
April 11, 2006 - September 14, 2010
BMO CAPITAL MARKETS CORP.
February 20, 2002 - April 19, 2006
HARRISDIRECT LLC
December 9, 2000 - June 28, 2002
HARRIS INVESTORLINE INC.
January 22, 1997 - December 9, 2000
HARRIS INVESTORLINE
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WINTRUST INVESTMENTS LLC
CRD#: 875 / SEC#: 801-64233, 8-484
Contact information
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 |
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.
