Nancy M. Graham
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.
Nancy M. Graham, CFP®, who also goes by Nancy M Graham, Nancy Marie Graham, Nancy Graham, Nancy Kuczora, Nancy M Kuczora, Nancy M Zummo, Nancy Zummo, Nancy Zumo, Nancy M Zummo, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1999. Nancy had worked at 9 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2024 - January 28, 2025
WINTRUST INVESTMENTS LLC
July 23, 2024 - July 31, 2025
WINTRUST INVESTMENTS LLC
June 27, 2019 - December 23, 2020
FIFTH THIRD SECURITIES, INC.
June 5, 2019 - December 23, 2020
FIFTH THIRD SECURITIES, INC.
December 16, 2016 - June 5, 2019
CEDAR HILL ASSOCIATES, LLC
December 7, 2010 - March 17, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
December 7, 2010 - March 17, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
December 10, 2009 - September 30, 2010
AMCORE INVESTMENT SERVICES, INC
August 9, 2004 - September 30, 2010
AMCORE INVESTMENT SERVICES, INC
October 4, 2001 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
October 4, 2001 - May 3, 2004
NATCITY INVESTMENTS, INC.
May 2, 2001 - August 24, 2001
FIFTH THIRD SECURITIES, INC.
January 13, 2000 - May 2, 2001
OLD KENT FINANCIAL ADVISORS
June 22, 1999 - November 29, 1999
CITICORP INVESTMENT SERVICES
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 7TO
Date: 7/1/2022
General Securities Representative ExaminationCurrent 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.
