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Lisa Ann McCarthy

Wintrust Investments LLC

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About Lisa Ann McCarthy

Lisa McCarthy is a financial advisor with Wintrust Investments LLC. Lisa has been in the financial services industry since 2013. Lisa's registration is currently active in 27 states. Lisa is licensed to provide financial advice to individuals, corporations, and other businesses. Lisa is also qualified to provide financial planning services.

Firm Information

Lisa McCarthy is currently registered with Wintrust Investments LLC. Wintrust Investments LLC is a Limited Liability Company based in Chicago, Illinois, formed in January 1996. The firm provides a wide range of investment advisory services including financial planning, selection of other advisors, portfolio management for individuals and businesses. Wintrust Investments LLC manages over $14.4 billion in assets and has over 147 investment advisor representatives.
Wintrust Investments LLC

231 SOUTH LASALLE STREET

CHICAGO, IL 60604

$14.42B

Assets Under Management

Not reported

Total Clients

168

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Lisa McCarthy’s Registration & Firm History

IL

01/04/2016 - Present

Wintrust Investments LLC (Wheaton IL)

IL

11/19/2013 - 07/31/2015

LPL FINANCIAL LLC (GLEN ELLYN IL)

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Licenses & Designations

IA

Issued 05/02/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/31/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/14/2015

Series 7 - General Securities Representative Examination

BC

Issued 11/19/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lisa Ann McCarthy.
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