Scott R. Steinhorst
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.
Scott Robert Steinhorst, who also goes by Scott Steinhorst, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1999. Scott had worked at 3 firms and has passed the Series 66, Series 63, SIE 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
September 20, 2005 - December 31, 2006
GREAT LAKES ADVISORS, LLC
September 20, 2005 - September 10, 2019
WINTRUST INVESTMENTS LLC
November 23, 2004 - September 10, 2019
WINTRUST INVESTMENTS LLC
September 30, 1999 - November 30, 2004
EDWARD JONES
Primary Firm SEC Registration
GREAT LAKES ADVISORS, LLC
CRD#: 110757 / SEC#: 801-16937
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
GREAT LAKES ADVISORS, LLC
CRD#: 110757 / SEC#: 801-16937
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,771 |
| AUM (Assets Under Management) | $ 15,298,949,943 |
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.
