Arnold S. Janickas
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.
Arnold Steven Janickas, who also goes by Arnie Janickas, Arnold S Janickas, was a registered financial advisor .
Arnold is a previously registered financial advisor and started their career in finance in 1997. Arnold had worked at 8 firms and has passed the Series 65, Series 63 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
April 1, 2009 - August 6, 2013
WINTRUST INVESTMENTS LLC
March 31, 2009 - August 6, 2013
WINTRUST INVESTMENTS LLC
November 22, 2006 - March 31, 2009
HARRISDIRECT LLC
November 22, 2006 - March 31, 2009
E*TRADE SECURITIES LLC
May 24, 2006 - October 30, 2006
ZACKS INVESTMENT MANAGEMENT, INC.
February 16, 2006 - October 30, 2006
LBMZ SECURITIES, INC.
April 17, 2003 - February 10, 2006
CITIGROUP GLOBAL MARKETS INC.
April 17, 2003 - February 10, 2006
CITIGROUP GLOBAL MARKETS INC.
April 6, 2000 - April 23, 2003
MORGAN STANLEY DW INC.
March 20, 2000 - April 23, 2003
MORGAN STANLEY DW INC.
November 24, 1997 - March 27, 2000
UBS FINANCIAL SERVICES 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.
