WINTRUST INVESTMENTS
WINTRUST INVESTMENTS, LLC Legal Name
Adviser information for WINTRUST INVESTMENTS last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 178 |
|---|---|
| Investment Advisory/Research | 147 |
| Registered Broker-Dealer Representatives | 170 |
| Registered State Investment Advisers | 147 |
| Licensed Agents of an Insurance Company | 94 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,687 | $9.3B |
| Non-Discretionary | 8,282 | $5.1B |
| Total | 10,969 | $14.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 5,211 | $1.6B |
| HNW Individuals | 2,444 | $2.3B |
| Banking or thrift institutions | 16 | $7.6B |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 250 | $2.6B |
| Charitable organizations | 71 | $45.6M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 63 | $281.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 3.2B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CUSTOM CHOICE | WELLS FARGO ADVISORS |
| PERSONALIZED UNIFIED MANAGED ACCOUNT (PUMA) | WELLS FARGO ADVISORS |
| PRIVATE INVESTMENT MANAGEMENT (PIM) | WELLS FARGO ADVISORS |
| FUNDSOURCE | WELLS FARGO ADVISORS |
| CUSTOMIZED PORTFOLIOS | WELLS FARGO ADVISORS |
| ASSET ADVISOR | WELLS FARGO ADVISORS |
| PRIVATE ADVISOR NETWORK | WELLS FARGO ADVISORS |
Principal Office
231 SOUTH LASALLE STREET13TH FLOOR
CHICAGO
IL
United States
Monday - Friday, 8:15AM-4:45PM
Tel: 312-431-1700, Fax: 312-846-9460
Chief Compliance Officer
ELLIOTT J. SILVER
CHIEF COMPLIANCE OFFICER
231 S. LASALLE STREET
13TH FLOOR
CHICAGO
IL
United States
Tel:
312-431-6569
Fax:
312-846-9460
E******@*****************M
(Full email address available in API data)
Regulatory Contact
JAMES SOMMERFIELD, JR.
SR. COMPLIANCE OFFICER
231 S. LASALLE STREET
13TH FLOOR
CHICAGO
IL
United States
Tel:
312-373-1167
J***********@*****************M
(Full email address available in API data)
Industry Affiliates
| BARRINGTON BANK & TRUST COMPANY N.A. | Banking or thrift institution |
| BEVERLY BANK & TRUST COMPANY N.A. | Banking or thrift institution |
| CRYSTAL LAKE BANK & TRUST N.A. | Banking or thrift institution |
| GREAT LAKES ADVISORS, LLC | Other investment adviser, including financial planners |
| HINSDALE BANK & TRUST COMPANY N.A. | Banking or thrift institution |
| LAKE FOREST BANK & TRUST COMPANY N.A. | Banking or thrift institution |
| LIBERTYVILLE BANK & TRUST COMPANY N.A. | Banking or thrift institution |
| NORTHBROOK BANK & TRUST COMPANY N.A. | Banking or thrift institution |
| OLD PLANK TRAIL COMMUNITY BANK N.A. | Banking or thrift institution |
| SCHAUMBURG BANK & TRUST COMPANY N.A. | Banking or thrift institution |
| ST. CHARLES BANK & TRUST COMPANY N.A. | Banking or thrift institution |
| STATE BANK OF THE LAKES N.A. | Banking or thrift institution |
| THE CHICAGO TRUST COMPANY N.A. | Trust company |
| TOWNBANK N.A. | Banking or thrift institution |
| VILLAGE BANK & TRUST N.A. | Banking or thrift institution |
| WHEATON BANK & TRUST COMPANY N.A. | Banking or thrift institution |
| WINTRUST BANK N.A. | Banking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SILVER, ELLIOTT JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2005 | < 5% |
| WINTRUST BANK | Domestic Entity | – | SOLE DIRECT OWNER | 10/2002 | > 75% |
| WINTRUST FINANCIAL CORPORATION | Domestic Entity | WINTRUST BANK | SOLE OWNER | 09/1994 | > 75% |
| KIERNAN, THOMAS JOSEPH | Individual | – | MUNICIPAL PRINCIPAL | 03/1998 | < 5% |
| SOMMERFIELD, JAMES ALFRED JR | Individual | – | SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL | 03/2005 | < 5% |
| GETZ, BERT ATWATER JR | Individual | – | DIRECTOR | 01/2005 | < 5% |
| ZIDAR, THOMAS PATRICK | Individual | – | CHAIRMAN & CEO | 09/2006 | < 5% |
| HEITMANN, SCOTT KEITH | Individual | – | DIRECTOR | 07/2008 | < 5% |
| GLABE, MARLA FRIEDMAN | Individual | – | DIRECTOR | 09/2009 | < 5% |
| HUGHES, TERRANCE GREGORY | Individual | – | DIRECTOR OF SALES | 01/2013 | < 5% |
| CARLISLE, PAUL CLAYTON | Individual | – | DIRECTOR | 01/2014 | < 5% |
| CORBETT, JAMES EDWARD | Individual | – | CHIEF OPERATIONS OFFICER | 06/2018 | < 5% |
| KAMRADT, MICHAEL PAUL | Individual | – | DIRECTOR | 01/2019 | < 5% |
| MCKINNEY, SUZET MEYLIEU | Individual | – | DIRECTOR | 01/2019 | < 5% |
| SARILLO, CELENA ROLDAN | Individual | – | DIRECTOR | 01/2019 | < 5% |
| SMYTH, MICHAEL J | Individual | – | CHIEF FINANCIAL OFFICER | 03/2019 | < 5% |
| STAFFORD, INGRID S. | Individual | – | DIRECTOR | 07/2021 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AFLAC INC | COM | 3K | 32K | – |
| ABBOTT LABORATORIES | COM | 2K | 18K | – |
| ADVANCED MICRO DEVICES INC | COM | 698 | 4K | – |
| AIR PRODUCTS & CHEMICALS INC | COM | 962 | 4K | – |
| ALIGN TECH INC | COM | 228 | 944 | – |
| AMAZON COM INC | COM | 15K | 78K | – |
| AMERICAN EXPRESS COMPANY | COM | 2K | 9K | – |
| AMGEN INC | COM | 5K | 15K | – |
| AMPHENOL CORP NEW CL A | COM | 2K | 23K | – |
| AMPLIFY CYBERSECURTY ETF | ETF | 230 | 4K | – |
| ELEVANCE HEALTH INC | COM | 319 | 588 | – |
| APPLE INC | COM | 46K | 219K | – |
| APPLIED MATERIALS INC | COM | 1K | 4K | – |
| ARCHER-DANIELS-MIDLND CO | COM | 652 | 11K | – |
| ASBURY AUTOMOTIVE GROUP | COM | 508 | 2K | – |
| ASTRAZENECA PLC SPON ADR | COM | 264 | 3K | – |
| ATKORE INC | COM | 1K | 11K | – |
| AUTOMATIC DATA PROCESSING | COM | 929 | 4K | – |
| AVALONBAY COMMUNITIES REIT INC | COM | 465 | 2K | – |
| BP PLC SPONS ADR | COM | 447 | 12K | – |
| BANK OF AMERICA CORP | COM | 3K | 87K | – |
| CALL BANK AMER CORP | OPT | 5K | 179K | – |
| PUT BANK AMER CORP | OPT | 314 | 8K | – |
| BANK MONTREAL QUEBEC | COM | 226 | 3K | – |
| BAXTER INTERNATIONAL INC | COM | 2K | 54K | – |
| BECTON DICKINSON & CO | COM | 301 | 1K | – |
| BENSON HILL INC | COM | 2 | 16K | – |
| BERKSHIRE HATHAWAY INC CL A | COM | 2K | 4 | – |
| BERKSHIRE HATHAWAY INC SERIES B NEW | COM | 42K | 103K | – |
| BHP BILLITON LTD SPON ADR | COM | 1K | 22K | – |
| BLACKROCK ETF TR II ETF HIGH YIELD MUNI INCOME BD ETF | ETF | 795 | 35K | – |
| BLACKROCK TR II ETF FLEXIBLE INCOME | ETF | 233 | 4K | – |
| BOEING CO | COM | 583 | 3K | – |
| BOSTON PROPERTIES INC REIT | COM | 228 | 4K | – |
| BRISTOL MYERS SQUIBB CO | COM | 2K | 44K | – |
| PUT BRISTOL-MYERS | OPT | 293 | 7K | – |
| BROOKFIELD ASST MGMT CL A LTD VTG SHS | COM | 223 | 6K | – |
| CIGNA CORP NEW | COM | 320 | 969 | – |
| C N A FINANCIAL CORP | COM | 435 | 9K | – |
| CVS HEALTH CORPORATION | COM | 2K | 32K | – |
| CACI INTL INC CLASS A | COM | 413 | 960 | – |
| CADENCE DESIGN SYSTEMS INC | COM | 628 | 2K | – |
| CAPITAL SOUTHWEST CORP | COM | 1K | 50K | – |
| CATERPILLAR INC | COM | 2K | 7K | – |
| CHESAPEAKE ENERGY CORP 01/2021 | COM | 471 | 6K | – |
| CHEVRON CORPORATION | COM | 2K | 10K | – |
| CHIPOTLE MEXICAN GRILL CL A | COM | 448 | 7K | – |
| CHURCHILL DOWNS INC | COM | 3K | 19K | – |
| CITIGROUP INC NEW | COM | 3K | 45K | – |
| PUT CITIGROUP INC NEW | OPT | 447 | 7K | – |
| CLEVELAND-CLIFFS INC NEW | COM | 262 | 17K | – |
| COCA-COLA COMPANY | COM | 985 | 15K | – |
| COPART INC | COM | 704 | 13K | – |
| CORNING INC | COM | 660 | 17K | – |
| CUMMINS INC | COM | 2K | 8K | – |
| DTE ENERGY CO | COM | 306 | 3K | – |
| DANAHER CORP | COM | 1K | 5K | – |
| DEERE & CO | COM | 933 | 2K | – |
| DIGITAL REALTY TRUST INC | COM | 289 | 2K | – |
| DISNEY WALT COMPANY | COM | 899 | 9K | – |
| EASTMAN CHEMICAL CO | COM | 255 | 3K | – |
| EBAY INC | COM | 734 | 14K | – |
| EMERSON ELECTRIC CO | COM | 1K | 9K | – |
| ENTERPRISE PRODUCTS PARTNERS | COM | 217 | 7K | – |
| EXPEDITORS INTL WASH INC | COM | 255 | 2K | – |
| FAIR ISAAC INC | COM | 262 | 176 | – |
| FIRST TRUST NASDAQ 1 ETF EQUAL WEIGHTED INDEX ETF | ETF | 4K | 32K | – |
| FISERV INC | COM | 937 | 6K | – |
| FIRSTENERGY CORP | COM | 440 | 11K | – |
| FORD MOTOR COMPANY | COM | 598 | 48K | – |
| ARTHUR J GALLAGHER & CO | COM | 570 | 2K | – |
| GAP INC | COM | 2K | 100K | – |
| GARTNER INC NEW | COM | 1K | 3K | – |
| GENERAC HOLDINGS INC | COM | 378 | 3K | – |
| GENL DYNAMICS CORP | COM | 323 | 1K | – |
| GE AEROSPACE NEW | COM | 2K | 14K | – |
| GENERAL MILLS INC | COM | 480 | 8K | – |
| GENIE ENERGY LTD SERIES B | COM | 463 | 32K | – |
| GENUINE PARTS CO COM | COM | 227 | 2K | – |
| GILEAD SCIENCES INC | COM | 381 | 6K | – |
| GRAINGER W W INC | COM | 338 | 374 | – |
| HSBC HOLDINGS PLC-SPON ADR | COM | 2K | 35K | – |
| HALEON PLC ADR | COM | 398 | 48K | – |
| JOHN HANCOCK FINANCIAL OPPORTUNITY FD | CEF | 341 | 12K | – |
| HERCULES CAP INC | COM | 2K | 111K | – |
| HERSHEY COMPANY | COM | 337 | 2K | – |
| HOME DEPOT INC | COM | 3K | 9K | – |
| HONEYWELL INTERNATIONAL INC | COM | 3K | 13K | – |
| HUBBELL INC | COM | 696 | 2K | – |
| CALL HUBSPOT INC | OPT | 444 | 700 | – |
| HUMANA INC | COM | 2K | 5K | – |
| CALL HUMANA INC | OPT | 525 | 2K | – |
| ILLINOIS TOOL WORKS INC | COM | 4K | 18K | – |
| IMPERIAL OIL LTD NEW | COM | 2K | 29K | – |
| INGREDION INCORPORATED | COM | 514 | 4K | – |
| INTEL CORP | COM | 427 | 14K | – |
| INTERNATIONAL BUSINESS MACHINE CORP | COM | 377 | 2K | – |
| INTL FLAVOR & FRAGRANCES | COM | 2K | 18K | – |
| INTUIT INC | COM | 291 | 443 | – |
| ISHARES MSCI SOUTH ETF KOREA | ETF | 405 | 6K | – |
| ISHARES ETF S&P 100 | ETF | 500 | 2K | – |
| ISHARES SELECT ETF DIVIDEND | ETF | 905 | 7K | – |
| ISHARES TIP BOND ETF | ETF | 446 | 4K | – |
| ISHARES CORE S&P 500 ETF S&P 500 INDEX FD | ETF | 44K | 80K | – |
| ISHARES CORE U S ETF AGGREGATE BOND | ETF | 383 | 4K | – |
| ISHARES MSCI ETF EMERGING MARKETS | ETF | 349 | 8K | – |
| ISHARES IBOXX & ETF INVESTMENT GRADE CORP BD | ETF | 273 | 3K | – |
| ISHARES S&P 500 ETF GROWTH | ETF | 688 | 7K | – |
| ISHARES S&P500 VALUE ETF | ETF | 1K | 6K | – |
| ISHARES 20 YEAR ETF TREASURY BOND | ETF | 306 | 3K | – |
| ISHARES MSCI EAFE IN ETF | ETF | 839 | 11K | – |
| ISHARES RUSSELL ETF MID-CAP VALUE | ETF | 2K | 14K | – |
| ISHARES ETF RUSSELL MIDCAP GROWTH | ETF | 637 | 6K | – |
| ISHARES RUSSELL ETF MIDCAP | ETF | 923 | 11K | – |
| ISHARES CORE S&P MID ETF ETF | ETF | 56K | 953K | – |
| ISHARES PHLX ETF SEMICONDUCTOR | ETF | 255 | 1K | – |
| ISHARES NASDAQ ETF BIOTECHNOLOGY | ETF | 258 | 2K | – |
| ISHARES ETF GLOBAL 100 | ETF | 749 | 8K | – |
| ISHARES ETF RUSSELL 1000 VALUE | ETF | 4K | 23K | – |
| ISHARES ETF RUSSELL 1000 GROWTH | ETF | 631 | 2K | – |
| ISHARES ETF RUSSELL 2000 | ETF | 43K | 210K | – |
| ISHARES S&P MIDCAP ETF 400 VALUE | ETF | 2K | 16K | – |
| ISHARES ETF U S TECHNOLOGY | ETF | 970 | 6K | – |
| ISHARES ETF U S ENERGY | ETF | 3K | 55K | – |
| ISHARES CORE S&P ETF SMALLCAP | ETF | 1K | 13K | – |
| ISHARES ETF S&P SMALL CAP 600 VALUE | ETF | 3K | 28K | – |
| CALL ISHRS EMERG MKTS | OPT | 864 | 22K | – |
| ISHARES MSCI ACWI ETF | ETF | 618 | 6K | – |
| ISHARES NATIONAL ETF MUNI BOND | ETF | 1K | 12K | – |
| ISHARES ETF ASIA 50 | ETF | 413 | 6K | – |
| ISHARES MBS ETF | ETF | 563 | 6K | – |
| ISHARES ETF U S AEROSPACE & DEFENSE | ETF | 461 | 3K | – |
| JOHNSON & JOHNSON | COM | 3K | 22K | – |
| KLA CORP | COM | 3K | 4K | – |
| KIMBERLY-CLARK CORP | COM | 445 | 3K | – |
| KORN FERRY INTL | COM | 5K | 73K | – |
| L3HARRIS TECHNOLOGIES INC | COM | 3K | 12K | – |
| LAM RESEARCH CORP | COM | 206 | 193 | – |
| LEIDOS HOLDINGS INC | COM | 210 | 1K | – |
| LENNOX INTERNATIONAL | COM | 284 | 530 | – |
| LIBERTY BROADBAND CORP COM SER C | COM | 647 | 12K | – |
| ELI LILLY & CO | COM | 22K | 24K | – |
| LINCOLN NATL CORP IND | COM | 706 | 23K | – |
| LITTELFUSE INC | COM | 692 | 3K | – |
| LOCKHEED MARTIN CORP | COM | 4K | 9K | – |
| LOWES COMPANIES INC | COM | 744 | 3K | – |
| MADRIGAL PHARMACEUTICALS INC | COM | 6K | 21K | – |
| MARSH AND MC LENNAN COMPANIES INC | COM | 1K | 7K | – |
| MARRIOTT INTL INC NEW CL A | COM | 3K | 13K | – |
| MASTEC INC | COM | 578 | 5K | – |
| MCDONALDS CORP | COM | 2K | 7K | – |
| MICROSOFT CORP | COM | 33K | 74K | – |
| MICROCHIP TECHNOLOGY INC | COM | 440 | 5K | – |
| MODINE MANUFACTURING CO | COM | 530 | 5K | – |
| MONDELEZ INTL INC | COM | 283 | 4K | – |
| MORGAN STANLEY & CO | COM | 2K | 16K | – |
| CALL MORGAN STANLEY | OPT | 1K | 14K | – |
| NASDAQ INC | COM | 389 | 6K | – |
| NEWMONT CORP | COM | 7K | 160K | – |
| CALL NEWMONT CORP | OPT | 536 | 15K | – |
| PUT NEWMONT CORP | OPT | 7K | 8K | – |
| NIKE INC CLASS B | COM | 338 | 4K | – |
| NORFOLK SOUTHERN CORP | COM | 622 | 3K | – |
| NORTHERN TRUST CORP | COM | 332 | 4K | – |
| NORTHROP GRUMMAN CORP NEW | COM | 389 | 891 | – |
| NOVO NORDISK A S ADR | COM | 243 | 2K | – |
| NUVEEN MUNICIPAL VALUE FUND INC | CEF | 113 | 13K | – |
| OCCIDENTAL PETE CORP | COM | 5K | 85K | – |
| ONEOK INC NEW | COM | 579 | 7K | – |
| PALO ALTO NETWORKS | COM | 2K | 7K | – |
| PAYCHEX INC | COM | 381 | 3K | – |
| PEPSICO INCORPORATED | COM | 4K | 21K | – |
| PFIZER INCORPORATED | COM | 785 | 28K | – |
| PHILIP MORRIS INTERNATIONAL INC | COM | 823 | 8K | – |
| PHILLIPS 66 | COM | 5K | 38K | – |
| PROCTER & GAMBLE CO | COM | 2K | 12K | – |
| PRUDENTIAL FINANCIAL INC | COM | 955 | 8K | – |
| PUBLIC SVC ENTERPRISE GROUP INC | COM | 324 | 4K | – |
| QUALCOMM INC | COM | 2K | 10K | – |
| RELX PLC ADR SPON 1 RCPT= 1 ORD SHRS | COM | 241 | 5K | – |
| REPUBLIC SVCS INC | COM | 10K | 50K | – |
| RESMED INC | COM | 478 | 2K | – |
| RIO TINTO PLC SPONSORED ADR | COM | 1K | 22K | – |
| ROCKWELL AUTOMATION INC | COM | 378 | 1K | – |
| SHELL PLC ADR SPONSORED REPSTG ORD SH | COM | 335 | 5K | – |
| SCHLUMBERGER LTD | COM | 2K | 53K | – |
| PUT SCHLUMBERGER LTD | OPT | 253 | 6K | – |
| SCHWAB CHARLES CORP NEW | COM | 770 | 10K | – |
| SCHWAB US LARGE-CAP ETF VALUE | ETF | 218 | 3K | – |
| SCHWAB US DIVIDEND ETF EQUITY | ETF | 3K | 44K | – |
| SEMPRA ENERGY | COM | 2K | 24K | – |
| SIMON PROPERTY GROUP REIT INC NEW | COM | 480 | 3K | – |
| SONOCO PRODUCTS CO | COM | 380 | 8K | – |
| SOUTHERN COMPANY | COM | 880 | 11K | – |
| SOUTHWESTERN ENERGY CO | COM | 224 | 33K | – |
| STANLEY BLACK & DECKER INC | COM | 214 | 3K | – |
| STARBUCKS CORP | COM | 881 | 11K | – |
| STRYKER CORP | COM | 296 | 870 | – |
| SYSCO CORPORATION | COM | 467 | 7K | – |
| TJX COS INC NEW | COM | 3K | 26K | – |
| TAIWAN SEMICONDUCTOR MFG CO LTD ADR | COM | 1K | 7K | – |
| TEXAS INSTRUMENTS INC | COM | 1K | 6K | – |
| TEXAS ROADHOUSE INC COM | COM | 469 | 3K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 3K | 5K | – |
| TIMKEN COMPANY | COM | 268 | 3K | – |
| TOYOTA MTR CORP ADR NEW 3/82 | COM | 383 | 2K | – |
| TRACTOR SUPPLY COMPANY | COM | 2K | 8K | – |
| TYLER TECHNOLOGIES INC | COM | 373 | 742 | – |
| US BANCORP NEW | COM | 2K | 49K | – |
| UNILEVER PLC SPONS ADR | COM | 202 | 4K | – |
| UNION PACIFIC CORP | COM | 725 | 3K | – |
| UNITED PARCEL SERVICE-B | COM | 247 | 2K | – |
| UNITED RENTALS INC | COM | 879 | 1K | – |
| UNIVERSAL CORP VIRGINIA | COM | 3K | 63K | – |
| VANGUARD DIVIDEND ETF APPRECIATION | ETF | 14K | 76K | – |
| VANGUARD S&P 500 ETF GROWTH | ETF | 1K | 4K | – |
| VANGUARD FTSE ETF DEVELOPED MARKETS ETF | ETF | 28K | 560K | – |
| VANGUARD TOTAL WORLD ETF STOCK INDEX FUND | ETF | 4K | 35K | – |
| VANGUARD INTL EQTY ETF INDEX FDS FTSE ALL WORLD EX US | ETF | 2K | 27K | – |
| VANGUARD INTL EQUITY ETF INDEX FDS FTSE EMERGING MKTS ETF | ETF | 4K | 82K | – |
| VANGUARD FTSE ETF EUROPEAN | ETF | 319 | 5K | – |
| VANGUARD MUN BD FDS ETF TAX EXEMPT BD INDEX FD | ETF | 247 | 5K | – |
| VANGUARD INDEX FDS ETF S&P 500 ETF SHS NEW | ETF | 12K | 24K | – |
| VANGUARD MID-CAP VAL ETF INDEX FUND | ETF | 209 | 1K | – |
| VANGUARD MID-CAP ETF GROWTH FUND | ETF | 222 | 967 | – |
| VANGUARD INDEX FDS ETF REAL ESTATE INDEX FD | ETF | 431 | 5K | – |
| VANGUARD SMALL CAP V ETF ETF | ETF | 225 | 1K | – |
| VANGUARD MID CAP ETF | ETF | 2K | 8K | – |
| VANGUARD LRG CAP ETF | ETF | 1K | 5K | – |
| VANGUARD EXTENDED ETF MARKET | ETF | 2K | 9K | – |
| VANGUARD GROWTH ETF | ETF | 1K | 4K | – |
| VANGUARD VALUE ETF | ETF | 325 | 2K | – |
| VANGUARD SMALL CAP ETF | ETF | 2K | 11K | – |
| VANGUARD TOTAL STOCK ETF MARKET ETF | ETF | 2K | 9K | – |
| WALMART INC | COM | 3K | 39K | – |
| WALGREENS BOOTS ALLIANCE INC | COM | 6K | 483K | – |
| CALL WALGREENS BOOTS | OPT | 1K | 77K | – |
| PUT WALGREENS BOOTS | OPT | 3K | 184K | – |
| WARNER BROS DISCOVERY INC SER A | COM | 473 | 64K | – |
| WELLS FARGO & CO NEW | COM | 725 | 12K | – |
| WILLIAMS COMPANIES INC | COM | 285 | 7K | – |
| YUM BRANDS INC | COM | 341 | 3K | – |
| RTX CORP | COM | 3K | 34K | – |
| INVESCO QQQ TR ETF UNIT SER 1 | ETF | 4K | 9K | – |
| CENCORA INC | COM | 2K | 10K | – |
| FIRST TRUST CAPITAL ETF STRENGTH | ETF | 9K | 102K | – |
| TARGET CORP | COM | 666 | 4K | – |
| EDWARDS LIFESCIENCE CORP | COM | 316 | 3K | – |
| FIRST TRUST III ETF PREFERRED SECS & INCOME | ETF | 6K | 348K | – |
| FIRST TRUST HIGH INCOME LONG/SHORT FUND | CEF | 208 | 17K | – |
| TRAVELERS COS INC/ THE | COM | 442 | 2K | – |
| FIRST TRUST DOW JONE ETF INTERNET INDEX FUND | ETF | 276 | 1K | – |
| AT & T INC | COM | 677 | 35K | – |
| ABBVIE INC | COM | 8K | 44K | – |
| ABRDN TOTAL DYNAMIC DIVIDEND FUND | CEF | 324 | 39K | – |
| ADAPTHEALTH CORP CL A | COM | 500 | 50K | – |
| ADOBE SYSTEMS INC | COM | 941 | 2K | – |
| ALPHABET INC NON VOTING CAP STK CL C | COM | 29K | 158K | – |
| ALPHABET INC VOTING CAP STK CL A | COM | 6K | 34K | – |
| ALTRIA GROUP INC | COM | 3K | 69K | – |
| ANHEUSER BUSCH INBEV SA/NV-SPONSORED ADR | COM | 3K | 56K | – |
| APOLLO GLOBAL MGMT INC NEW | COM | 1K | 9K | – |
| ARES CAPITAL CORP | COM | 1K | 61K | – |
| AUTONATION INC | COM | 514 | 3K | – |
| AXON ENTERPRISE INC | COM | 478 | 2K | – |
| BNY MELLON STRATEGIC MUNIS INC | CEF | 123 | 20K | – |
| BLACKROCK INC | COM | 3K | 4K | – |
| BLACKROCK ENHANCED EQUITY DIVIDEND TRUST | CEF | 314 | 38K | – |
| BLACKROCK MULTI-SECTOR INCOME TRUST | CEF | 220 | 15K | – |
| BLACKSTONE GROUP INC COM | COM | 2K | 14K | – |
| BLACKROCK ETF TR ETF US EQUITY FACTOR ROTATION | ETF | 697 | 15K | – |
| BOOKING HLDGS INC | COM | 832 | 210 | – |
| BROADCOM INC | COM | 10K | 7K | – |
| BROOKFIELD CORPRATON VTG CL A | COM | 846 | 20K | – |
| CBOE GLOBAL MARKETS INC | COM | 2K | 12K | – |
| CBRE CLARION GLOBAL REAL ESTATE INCOME FUND | CEF | 242 | 48K | – |
| CME GROUP INC | COM | 2K | 9K | – |
| CAPITAL GRP INTL ETF FOCUS EQUITY | ETF | 10K | 386K | – |
| CAPITAL GRP GROWTH ETF CREATION UNIT | ETF | 6K | 167K | – |
| CAPITAL GROUP CORE ETF EQUITY CREATION UNIT | ETF | 2K | 73K | – |
| CAPITAL GRP DIVIDEND ETF VALUE CREATION UNIT | ETF | 6K | 171K | – |
| CAPITAL GRP ETF MUNICIPAL INCOME | ETF | 834 | 31K | – |
| CAPITAL GROUP ETF INTERNATIONAL EQUITY | ETF | 204 | 7K | – |
| CARDINAL HEALTH INC | COM | 2K | 15K | – |
| CELSIUS HOLDINGS INC | COM | 416 | 7K | – |
| CHARTER COMMUNICATIONS INC A | COM | 689 | 2K | – |
| CHEMED CORP | COM | 558 | 1K | – |
| CISCO SYSTEMS INC | COM | 3K | 53K | – |
| PUT CISCO SYSTEMS | OPT | 254 | 5K | – |
| COMCAST CORP NEW CL A | COM | 902 | 23K | – |
| CONOCOPHILLIPS | COM | 257 | 2K | – |
| CORE LABORATORIES INC LUXEMBOURG SA COM | COM | 8K | 382K | – |
| PUT CORE LABORATORIES | OPT | 551 | 25K | – |
| CORTEVA INC | COM | 213 | 4K | – |
| COSTCO WHSL CORP NEW COM | COM | 6K | 7K | – |
| CROWN CASTLE INC | COM | 329 | 3K | – |
| DT MIDSTREAM INC | COM | 307 | 4K | – |
| DELL TECHNOLOGIES INC CL C | COM | 1K | 9K | – |
| DEVON ENERGY CORP | COM | 313 | 7K | – |
| DIMENSIONAL TR US ETF CORE EQUITY 2 | ETF | 371 | 12K | – |
| DIREXION SHS ETF TR ETF NASDAQ100 EQUAL WEIGHTED INDEX SHS | ETF | 234 | 3K | – |
| DOMINO'S PIZZA INC | COM | 2K | 4K | – |
| DRAFTKINGS INC NEW CL A | COM | 3K | 79K | – |
| DUKE ENERGY CORP COM NEW | COM | 613 | 6K | – |
| DUN & BRADSTREET HOLDINGS INC | COM | 2K | 202K | – |
| DUPONT DE NEMOURS INC | COM | 650 | 8K | – |
| EATON VANCE FUNDS TAX MANAGED DIVERSIFIED EQUITY | CEF | 153 | 11K | – |
| ENERGY TRANSFER LP | COM | 490 | 30K | – |
| ENPHASE ENERGY INC | COM | 312 | 3K | – |
| ENTERGY CORP NEW | COM | 263 | 2K | – |
| EXPEDIA INC | COM | 448 | 4K | – |
| EXXON MOBIL CORP | COM | 3K | 28K | – |
| META PLATFORMS INC CLASS A | COM | 7K | 13K | – |
| FIDELITY NATIONAL INFORMATION SVCS | COM | 323 | 4K | – |
| FIRST TR VALUE LINE ETF | ETF | 12K | 297K | – |
| FIRST TRST HLTH CAREETF ALPHADEX FUND | ETF | 2K | 20K | – |
| FIRST TR NASDAQ ETF CYBERSECURITY | ETF | 769 | 14K | – |
| FIRST TR ETF II ETF INTL IPO ETF | ETF | 410 | 9K | – |
| FIRST TRUST STOXX ETF EUROPEAN SELECT DIVID INDEX FUND | ETF | 235 | 20K | – |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | ETF | 250 | 6K | – |
| FIRST TRUST FD IV ETF NORTH AMERICAN ENERGY INFRASTRUCTURE FUND | ETF | 401 | 13K | – |
| FIRST TR FUND IV ETF SENIOR LOAN FUND | ETF | 291 | 6K | – |
| FIRST TRUST VI ETF NASDAQ TECH DIVID INDEX FUND | ETF | 204 | 3K | – |
| FIRST TRUST RISING ETF DIVIDEND ACHIEVERS | ETF | 975 | 18K | – |
| FIRST TR DORSEY ETF WRIGHT FOCUS FIVE FUND | ETF | 715 | 12K | – |
| FIRST TR RBA ETF AMERICAN INDUSTRIAL RENAISSANCE ETF | ETF | 589 | 9K | – |
| FIRST TR EXCHANGE ETF TRADED FD III FIRST TR LONG/SHORT EQUITY | ETF | 741 | 12K | – |
| FIRST TR ETF III ETF EMERGING MARKETS LOCAL CURRENCY BD EFT | ETF | 275 | 10K | – |
| FIRST TR ETF IV ETF FIRST TR LOW DURATION MTG OPPORTUNITIES ETF | ETF | 785 | 16K | – |
| FIRST TR ENHANCED ETF SHORT MATURITY | ETF | 3K | 48K | – |
| FT FD VIII VEST ETF U S EQUITY MODERATE BUFFER MARCH | ETF | 3K | 77K | – |
| FIRST TR ETF FD VII ETF TCW OPPORTUNISTIC FXD INCOME ETF | ETF | 502 | 12K | – |
| FIRST TR FD VIII ETF TCW UNCONSTRAINED PLUS BOND | ETF | 12K | 478K | – |
| FIRST TR ETF VI ETF SMID CAP RISING DIVID ACHIEVERS | ETF | 6K | 180K | – |
| GABELLI DIVIDEND & INCOME TRUST | CEF | 963 | 42K | – |
| GE HEALTHCARE TECHS INC | COM | 611 | 8K | – |
| GE VERNOVA LLC | COM | 648 | 4K | – |
| GENERAL MOTORS CO | COM | 290 | 6K | – |
| GSK PLC ADR SPONSORED ADR NEW | COM | 510 | 13K | – |
| GOLDMAN SACHS GROUP INC | COM | 2K | 6K | – |
| CALL GOLDMAN SACHS GRP | OPT | 679 | 2K | – |
| HCA HEALTHCARE INC | COM | 1K | 4K | – |
| HP INC | COM | 402 | 11K | – |
| INSTALLED BUILDING PRODS INC | COM | 804 | 4K | – |
| INTERACTIVE BROKERS GRP | COM | 763 | 6K | – |
| INTERCONTINENTAL EXCH EXCHANGE | COM | 229 | 2K | – |
| PUT INVESCO QQQ TR | OPT | 16K | 37K | – |
| INVESCO OPTIMUM YLD ETF DIVERSIFIED COMMODITY STRATEGY NO K-1 | ETF | 2K | 173K | – |
| INTUITIVE SURGICAL INC COM NEW | COM | 20K | 46K | – |
| INVESCO TR ETF S&P 500 QUALITY | ETF | 717 | 11K | – |
| INVESCO ETF BUYBACK ACHIEVERS ETF | ETF | 466 | 4K | – |
| INVESCO TR ETF S&P 500 EQUAL WEIGHT HEALTH CARE | ETF | 301 | 10K | – |
| INVESCO TR ETF S&P 500 EQUAL WEIGHT FINL | ETF | 1K | 19K | – |
| INVESCO TR ETF S&P 500 EQUAL WEIGHT | ETF | 33K | 200K | – |
| INVESCO TR ETF S&P 500 EQUAL WEIGHT ENERGY | ETF | 797 | 10K | – |
| INVESCO S&P 100 ETF EQUAL WEIGHT | ETF | 553 | 6K | – |
| INVESCO ETF INTL DIVID ACHIEVERS | ETF | 1K | 56K | – |
| INVESCO ETF FINL PFD | ETF | 230 | 16K | – |
| PUT INVESCO S&P 500 | OPT | 1K | 9K | – |
| INVESCO TR II ETF RUSSELL 1000 EQUAL WEIGHT | ETF | 2K | 54K | – |
| INVESCO TR II ETF NASDAQ NEXT GEN 100 | ETF | 637 | 23K | – |
| INVESCO EXCHANGE ETF SELF BULLETSHARES 2025 CORPRORATE BD | ETF | 270 | 13K | – |
| INVESCO EXCHANGE ETF BULLETSHARES 2024 CORPORATE BD | ETF | 660 | 31K | – |
| INVESCO SELF INDEXED ETF TR BULLETSHARES 2032 CORP BD | ETF | 3K | 158K | – |
| IQVIA HLDGS INC | COM | 417 | 2K | – |
| ISHARES ETF FLOATING RATE BOND | ETF | 5K | 96K | – |
| ISHARES ETF HIGH DIVIDEND | ETF | 276 | 3K | – |
| ISHARES EDGE MSCI ETF MIN VOL USA ETF | ETF | 345 | 4K | – |
| ISHARES CORE MSCI ETF EAFE ETF | ETF | 574 | 8K | – |
| ISHARES INC ETF CORE MSCI EMERGING MKTS | ETF | 394 | 7K | – |
| ISHARES INC ETF MSCI EMERGING MKTS EX CHINA ETF | ETF | 2K | 39K | – |
| ISHARES CORE TOTAL ETF USD BOND MARKET | ETF | 9K | 207K | – |
| ISHARES CORE ETF DIVIDEND GROWTH | ETF | 575 | 10K | – |
| ISHARES TREASURY ETF FLOATING RATE ETF | ETF | 45K | 885K | – |
| ISHARES TR ETF US INFRASTRUCTURE | ETF | 4K | 101K | – |
| JPMORGAN CHASE & CO | COM | 10K | 48K | – |
| J P MORGAN ETF BETABUILDERS JAPAN | ETF | 307 | 5K | – |
| JPMORGAN ETF JPMORGAN DIVERSIFIED RTN EMERGING MKTS EQ ETF | ETF | 824 | 15K | – |
| JPMORGAN EQUITY TR ETF PREMIUM INCOME FD | ETF | 1K | 19K | – |
| JPMORGAN ETF ULTRA-SHORT INCOME | ETF | 519 | 10K | – |
| JPMORGAN TR NASDAQ ETF NASDAQ EQUITY PREM INCOME | ETF | 213 | 4K | – |
| KINDER MORGAN INC DEL | COM | 3K | 164K | – |
| MRC GLOBAL INC | COM | 6K | 437K | – |
| MARATHON PETROLEUM CORP | COM | 3K | 17K | – |
| MASTERCARD INC CL A | COM | 347 | 786 | – |
| MCKESSON CORPORATION | COM | 1K | 2K | – |
| MERCADOLIBRE INC | COM | 2K | 1K | – |
| MERCK & CO INC NEW | COM | 2K | 18K | – |
| MISTER CAR WASH INC | COM | 356 | 50K | – |
| MONGODB INC CL A | COM | 387 | 2K | – |
| MONSTER BEVERAGE CORP | COM | 1K | 24K | – |
| NOV INC | COM | 1K | 75K | – |
| NETFLIX COM INC | ETF | 3K | 5K | – |
| NEXSTAR MEDIA GROUP INC | COM | 519 | 3K | – |
| NEXTERA ENERGY INC | COM | 2K | 30K | – |
| NVIDIA CORP | COM | 10K | 80K | – |
| NUVEEN QUALITY MUN INCOME FUND | CEF | 175 | 15K | – |
| NUVEEN MUNICIPAL CREDIT INCOME FUND | CEF | 151 | 12K | – |
| NUVEEN FLOATING RATE INCOME FUND | CEF | 144 | 17K | – |
| NUVEEN DYNAMIC MUNICIPAL OPPORTUNITIES FUND | CEF | 265 | 24K | – |
| ORACLE CORPORATION | COM | 5K | 34K | – |
| PGIM ETF TRUST ETF ULTRA SHORT BD | ETF | 1K | 21K | – |
| PGIM HIGH YIELD BOND FUND INC | CEF | 190 | 15K | – |
| PACER FDS TR ETF PACER US SMALL CAP CASH COWS 100 ETF | ETF | 3K | 80K | – |
| PACER FDS TR ETF US CASH COWS 100 ETF | ETF | 756 | 14K | – |
| PALANTIR TECHNOLOGIES INC CL A | COM | 934 | 37K | – |
| PARSONS CORP DEL | COM | 734 | 9K | – |
| PAYPAL HOLDINGS INC | COM | 1K | 19K | – |
| CALL PAYPAL HOLDINGS INC | OPT | 210 | 4K | – |
| PIMCO MUNICIPAL INCOME FUND II | CEF | 119 | 14K | – |
| PIMCO ETF INTER MUN BD ACTIVE EXCHANGE-TRADED FUND | ETF | 1K | 20K | – |
| PIMCO ETF SHORT TERM MUNICIPAL BD ACTIVE EXCH-TRADED FUND | ETF | 381 | 8K | – |
| PROSHARES S&P 500 ETF DIVIDEND A | ETF | 246 | 3K | – |
| QUEST DIAGNOSTICS INC | COM | 218 | 2K | – |
| CALL RAYTHEON TECHNOLOGI | OPT | 265 | 3K | – |
| REGENERON PHARMACEUTICAL INC | COM | 542 | 516 | – |
| S&P GLOBAL INC | COM | 1K | 3K | – |
| SPDR S&P 500 TRUST ETF | ETF | 13K | 24K | – |
| CALL SPY OPTION | OPT | 1K | 2K | – |
| PUT SPY OPTION | OPT | 47K | 89K | – |
| SPDR GOLD TRUST ETF | ETF | 1K | 6K | – |
| SPDR S&P REGNL BNKG ETF | ETF | 1K | 29K | – |
| SPDR S&P DIVIDEND ETF | ETF | 781 | 6K | – |
| SPDR S&P BANK ETF | ETF | 368 | 8K | – |
| SPDR SER TR ETF PORT S&P 400 MID CAP | ETF | 285 | 6K | – |
| CALL SPDR KBW REGNL BNKG | OPT | 479 | 11K | – |
| SSGA ACTIVE TRUST ETF GLOBAL ALLOCATION | ETF | 347 | 8K | – |
| SPDR DOW JONES INDL ETF AVERAGE ETF TR | ETF | 1K | 3K | – |
| SPDR S&P MIDCAP 400 ETF TRUST SERIES N | ETF | 284 | 530 | – |
| SPDR BLOOMBERG ETF 1-3 MNTH T BILL 1-3 MNTH T BILL ETF NEW | ETF | 422 | 5K | – |
| SSGA ACTIVE TR ETF SPDR BLACKSTONE HIGH INCOME | ETF | 268 | 10K | – |
| SALESFORCE INC | COM | 3K | 11K | – |
| SANOFI ADR | COM | 380 | 8K | – |
| SELECT SECTOR SPDR F ETF MATERIALS | ETF | 207 | 2K | – |
| SELECT SECTOR SPDR F ETF HEALTH CARE | ETF | 3K | 17K | – |
| SELECT SECTOR SPDR T ETF CONSUMER STAPLES | ETF | 284 | 4K | – |
| ENERGY SELECT ETF SECTOR SPDR | ETF | 1K | 16K | – |
| SELECT SECTOR SPDR ETF TR FINANCIAL | ETF | 1K | 35K | – |
| INDUSTRIAL SELECT ETF SECTOR SPDR | ETF | 898 | 7K | – |
| SECTOR SPDR TR ETF TECHNOLOGY SELECT SECTOR | ETF | 1K | 6K | – |
| SELECT SECTOR SPDR ETF COMMUNICATION SVCS SELECT SECTOR SPDR FD | ETF | 289 | 3K | – |
| SELECT SECTOR SPDR T ETF UTILITIES SELECT SECTOR | ETF | 408 | 6K | – |
| CALL SELECT SECTOR SPDR | OPT | 374 | 11K | – |
| SERVICENOW INC | COM | 2K | 3K | – |
| TAYLOR MORRISON HOME CORP CL A | COM | 208 | 4K | – |
| TESLA INC | COM | 446 | 2K | – |
| TETRA TECH INC NEW | COM | 221 | 1K | – |
| 3M CO | COM | 1K | 11K | – |
| UBER TECHNOLOGIES INC | COM | 291 | 4K | – |
| ULTA BEAUTY INC | COM | 2K | 5K | – |
| UNITEDHEALTH GROUP INC | COM | 3K | 6K | – |
| UNUM GROUP | COM | 309 | 6K | – |
| VALERO ENERGY CORP NEW (VALERO REFNG & MKTING) | COM | 860 | 5K | – |
| VANECK VECTORS TR ETF MORNINGSTAR WIDE MOAT ETF | ETF | 1K | 14K | – |
| VANECK VECTORS TR ETF PHARMACEUTICAL ETF | ETF | 753 | 8K | – |
| VANGUARD TOTAL INTL ETF BOND | ETF | 243 | 5K | – |
| VANGUARD HEALTH CARE ETF | ETF | 815 | 3K | – |
| VANGUARD INDUSTRIALS ETF | ETF | 1K | 5K | – |
| VANGUARD INFORMATION ETF TECHNOLOGY | ETF | 227 | 393 | – |
| VANGUARD LONG TERM ETF CORP BOND | ETF | 264 | 3K | – |
| VERIZON COMMUNICATIONS COM | COM | 967 | 23K | – |
| VERTEX PHARMACEUTICALS INC | COM | 3K | 6K | – |
| PARAMOUNT GLOBAL CL A | COM | 247 | 13K | – |
| PARAMOUNT GLOBAL CL B | COM | 126 | 12K | – |
| VIATRIS INC COM | COM | 128 | 12K | – |
| VISA INC CLASS A | COM | 7K | 25K | – |
| VIRTUS EQUITY & CONV INCOME FUND | CEF | 326 | 14K | – |
| WEC ENERGY GROUP INC | COM | 333 | 4K | – |
| WINTRUST FINL CORP | COM | 226 | 2K | – |
| WISDOMTREE US MIDCAP ETF DIVIDEND FUND | ETF | 1K | 26K | – |
| WISDOMTREE S/C DVD ETF FD | ETF | 292 | 9K | – |
| ZOETIS INC CLASS A | COM | 1K | 8K | – |
| ZURN ELKAY WATER SOLUTIONS CORP | COM | 5K | 180K | – |
| ACCENTURE PLC IRELAND SHARES CLASS A | COM | 1K | 4K | – |
| CALL ACCENTURE PLC | OPT | 368 | 1K | – |
| BROOKFIELD INFRASTRUCTURE PARTNERS LP | COM | 340 | 12K | – |
| EATON CORP PLC | COM | 2K | 7K | – |
| LINDE PLC NEW | COM | 2K | 3K | – |
| MEDTRONIC PLC | COM | 2K | 23K | – |
| LIBERTY GLOBAL LTD | COM | 177 | 10K | – |
| LIBERTY GLOBAL LTD C | COM | 380 | 21K | – |
| TRANE TECHNOLOGIES PLC | COM | 1K | 3K | – |
| BUNGE GLOBAL SA | COM | 203 | 2K | – |
| CHUBB LTD | COM | 4K | 14K | – |
| GARMIN LTD | COM | 1K | 7K | – |
| ASML HOLDING NV NY REGISTRY SHS NEW 2012 | COM | 446 | 436 | – |
| LYONDELLBASELL INDUSTRIES AF SCA CLASS A | COM | 294 | 3K | – |
| FLEX LTD | COM | 243 | 8K | – |