Paula M. Schneider Aguilar
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.
Paula Marie Schneider Aguilar, who also goes by Paula Marie Aguilar, Paula Marie Aquilar, Paula M Schneider, Paula Marie Schneider, Paula Marie Schneider-aguilar, was a registered financial professional .
Paula is a previously registered financial professional and started their career in finance in 1981. Paula had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 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
January 6, 2011 - December 31, 2016
WINTRUST INVESTMENTS LLC
January 6, 2011 - March 20, 2018
GREAT LAKES ADVISORS, LLC
January 5, 2011 - May 11, 2017
WINTRUST INVESTMENTS LLC
June 1, 2009 - January 12, 2011
MORGAN STANLEY
June 1, 2009 - January 12, 2011
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 4, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 13, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
August 10, 2004 - May 5, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 5, 2003 - July 21, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 22, 2000 - January 15, 2003
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 11, 1998 - February 16, 1999
NUVEEN SECURITIES, LLC
March 23, 1981 - August 3, 1998
WILLIAM BLAIR
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.
