AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
LW

Lori A. Willis

GREAT LAKES ADVISORS
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 2890398
LW

Professional summary

Lori Ann Heikkila Willis, who also goes by Lori Ann Heikkila, Lori Ann Willis, is a registered financial advisor currently at GREAT LAKES ADVISORS, LLC located in Chicago, Illinois.

Lori is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Lori has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 22 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lori Ann Heikkila | Lori Ann Willis

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) - RIA

Click below to view Lori Ann Heikkila Willis's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 9, 2026 - Present

GREAT LAKES ADVISORS, LLC

Office #1: 231 S. Lasalle Street 4th Floor, Chicago, IL 60604
RIA
CRD#: 110757
Chicago, IL
Past

February 19, 2015 - January 28, 2025

WINTRUST INVESTMENTS LLC

RIA
CRD#: 875
CHICAGO, IL
Past

February 19, 2015 - December 31, 2025

GREAT LAKES ADVISORS, LLC

RIA
CRD#: 110757
CHICAGO, IL
Past

February 19, 2015 - July 31, 2025

WINTRUST INVESTMENTS LLC

BD
CRD#: 875
CHICAGO, IL
Past

October 24, 2013 - February 13, 2015

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
NORTHBROOK, IL
Past

October 24, 2013 - February 13, 2015

SECURITIES AMERICA, INC.

BD
CRD#: 10205
NORTHBROOK, IL
Past

May 5, 2008 - September 19, 2012

ASSETMARK, INC.

RIA
CRD#: 109018
CHICAGO, IL
Past

April 1, 2008 - September 19, 2012

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
CHICAGO, IL
Past

July 5, 2001 - April 1, 2008

ASSETMARK CAPITAL CORPORATION

BD
CRD#: 37583
CHICAGO, IL
Past

September 30, 1998 - May 3, 2000

ASSETMARK CAPITAL CORPORATION

BD
CRD#: 37583
PLEASANT HILL, CA
Past

February 3, 1998 - June 18, 1998

CAPTEC SECURITIES CORPORATION

BD
CRD#: 42304
ANN ARBOR, MI

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
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
(1/9/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/20/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/27/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/21/2001
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 2/2/1998
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/20/2007
Investment Company Products/Variable Contracts Principal Examination

Current Firm

GREAT LAKES ADVISORS, LLC
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GLA ADV PART 2A (9/16/2025)

Regulatory assets under management

Total Number of Accounts3,771
AUM (Assets Under Management)$ 15,298,949,943

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/21/2026
Cover Page
Report
09/25/2024
Cover Page
Report
09/27/2023
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

GREAT LAKES ADVISORS, LLC

GREAT LAKES ADVISORS, LLC

CRD#: 110757Chicago, IL 60604

TRUST BUT VERIFY

Monitor Lori Willis

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.