Michael J Knowles
Professional Summary
Michael J Knowles was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2007 - 2025. Michael had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
WAYNE HUMMER & CO. | WINTRUST WEALTH SERVICES | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT GROUP | WINTRUST INVESTMENTS, LLC | WINTRUST INVESTMENTS LLC | WINTRUST INVESTMENTS INSURANCE AGENCY, LLC | WINTRUST INVESTMENTS | WAYNE HUMMER INVESTMENTS L.L.C. | WAYNE HUMMER INVESTMENTS
Contact Information
Main Address
231 South Lasalle Street 13th Floor, Chicago, IL 60604Mailing Address
Po Box 750, Chicago, IL 60606-0750Phone Number
(312) 431-1700Established
Delaware since 01/31/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
178Documents
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
10,969AUM (Assets Under Management)
$14,417,827,726Disclosures
Regulatory Event
5Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | Cover Page | Report |
| 09/27/2023 | Cover Page | Report |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2007About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2007About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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