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Stephen James Sperling

Wintrust Investments LLC

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About Stephen James Sperling

Stephen Sperling is a financial advisor who has been working in the industry since 1998. Stephen is registered with Wintrust Investments LLC, and has been with the firm since 2007. Stephen is licensed to provide financial advice in 26 states, and is also a registered Investment Advisor in Illinois. Stephen is able to provide financial planning, portfolio management for businesses and individuals, and selection of other advisers.

Firm Information

Stephen Sperling 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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Stephen Sperling’s Registration & Firm History

IL

09/21/2007 - Present

Wintrust Investments LLC (CHICAGO IL)

IL

05/15/2000 - 09/11/2007

LASALLE FINANCIAL SERVICES, INC. (CHICAGO IL)

IL

04/15/2000 - 04/24/2000

HARRIS INVESTORLINE (CHICAGO IL)

IL

06/11/1998 - 04/15/2000

HARRIS INVESTORS DIRECT, INC. (CHICAGO IL)

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Licenses & Designations

IA

Issued 09/05/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/15/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/08/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 8 public disclosures for Stephen James Sperling. Review regulatory record here.
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