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Neil John Moscicki

Wintrust Investments LLC

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About Neil John Moscicki

Neil Moscicki is a financial advisor at Wintrust Investments LLC. Neil has been in the industry since 2000. Neil is a Certified Financial Planner and a Chartered Financial Consultant. Neil holds the Series 31, Series 7 and SIE licenses. Wintrust Investments LLC provides financial planning, portfolio management for individuals and businesses, and selection of other advisors.

Firm Information

Neil Moscicki 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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Neil Moscicki’s Registration & Firm History

IL

07/31/2015 - Present

Wintrust Investments LLC (CHICAGO IL)

IL

12/14/2005 - 08/05/2015

BMO HARRIS FINANCIAL ADVISORS, INC. (ROSELLE IL)

NJ

07/22/2002 - 12/31/2005

HARRISDIRECT LLC (JERSEY CITY NJ)

NY

03/28/2000 - 06/28/2002

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BOTH

Issued 04/11/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/10/2000

Series 31 - Futures Managed Funds Examination

BC

Issued 03/27/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Neil John Moscicki.
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