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Thomas A Knott

Wintrust Investments LLC

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About Thomas A Knott

Thomas Knott is a financial advisor with over 20 years of experience in the industry. Thomas is a Certified Financial Planner™ professional and holds the Series 66, Series 7 and SIE licenses. Thomas is registered in 19 states and is currently employed by Wintrust Investments LLC, where Thomas has been since September 30, 2011. Prior to that, Thomas worked for Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Thomas specializes in providing financial advice to high-net-worth individuals, corporations, charitable organizations, and pension and profit sharing plans.

Firm Information

Thomas Knott 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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Thomas Knott’s Registration & Firm History

IL

09/30/2011 - Present

Wintrust Investments LLC (CHICAGO IL)

IL

06/01/2009 - 10/13/2011

MORGAN STANLEY SMITH BARNEY (RIVERWOODS IL)

IL

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (WINNETKA IL)

IL

11/19/2001 - 04/02/2007

MORGAN STANLEY DW INC. (RIVERWOODS IL)

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Licenses & Designations

BOTH

Issued 12/11/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/16/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Thomas A Knott. Review regulatory record here.
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