Sr. Compliance Officer

0000049096-19-000013.txt : 20191107 0000049096-19-000013.hdr.sgml : 20191107 20191107153410 ACCESSION NUMBER: 0000049096-19-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191107 DATE AS OF CHANGE: 20191107 EFFECTIVENESS DATE: 20191107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WINTRUST INVESTMENTS LLC CENTRAL INDEX KEY: 0000049096 IRS NUMBER: 361245570 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17513 FILM NUMBER: 191200068 BUSINESS ADDRESS: STREET 1: 231 SOUTH LASALLE STREET STREET 2: 13TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 312-373-1167 MAIL ADDRESS: STREET 1: P.O. BOX 750 CITY: CHICAGO STATE: IL ZIP: 60690-0750 FORMER COMPANY: FORMER CONFORMED NAME: WINTRUST INVESTMENTS LLC DATE OF NAME CHANGE: 20180611 FORMER COMPANY: FORMER CONFORMED NAME: WAYNE HUMMER INVESTMENTS L.L.C. DATE OF NAME CHANGE: 20020222 FORMER COMPANY: FORMER CONFORMED NAME: HUMMER WAYNE INVESTMENTS LLC / /BD DATE OF NAME CHANGE: 20020222 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000049096 XXXXXXXX 09-30-2019 09-30-2019 WINTRUST INVESTMENTS LLC

P.O. BOX 750 CHICAGO IL 60690-0750

13F HOLDINGS REPORT 028-17513 N James Sommerfield Jr. Sr. Compliance Officer 312-373-1167 James Sommerfield Jr. Chicago IL 11-07-2019 0 405 670408 false INFORMATION TABLE 2 LST13FREPORTQ32019.xml WTI13FQ32019 3M CO COM 88579Y101 329 2002 SH SOLE 0 0 2002 ABBOTT LABORATORIES COM 002824100 1453 17366 SH SOLE 0 0 17366 ABBVIE INC COM 00287Y109 1596 21075 SH SOLE 0 0 21075 ABBVIE INC OPT 00287Y909 150 1500 SH SOLE 0 0 1500 ACCENTURE PLC IRELANDSHARES CLASS A COM G1151C101 334 1734 SH SOLE 0 0 1734 ACCENTURE PLC IRELANDSHARES CLASS A OPT G1151C901 156 900 SH SOLE 0 0 900 ALERIAN MLP ETF ETF 00162Q866 256 28024 SH SOLE 0 0 28024 ALLISON TRANSMISSIONHOLDINGS INC COM 01973R101 321 6830 SH SOLE 0 0 6830 ALPHABET INC VOTINGCAP STK CL A COM 02079K305 996 816 SH SOLE 0 0 816 ALPHABET INC NON VOTINGCAP STK CL C COM 02079K107 16478 13518 SH SOLE 0 0 13518 ALPHABET INC NON VOTINGCAP STK CL C OPT 02079K109 1730 1500 SH SOLE 0 0 1500 ALTRIA GROUP INC COM 02209S103 599 14649 SH SOLE 0 0 14649 AMAZON COM 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VALUE ETF 464287598 465 3629 SH SOLE 0 0 3629 ISHARES ETFRUSSELL 2000 ETF 464287655 21963 145126 SH SOLE 0 0 145126 ISHARES ETFRUSSELL 2000 GROWTH ETF 464287648 340 1763 SH SOLE 0 0 1763 ISHARES ETFU S AEROSPACE & DEFENSE ETF 464288760 269 1195 SH SOLE 0 0 1195 ISHARES ETFU S FINANCIALS ETF 464287788 223 1735 SH SOLE 0 0 1735 ISHARES ETFU S REAL ESTATE ETF 464287739 213 2276 SH SOLE 0 0 2276 ISHARES ETFU S TECHNOLOGY ETF 464287721 523 2560 SH SOLE 0 0 2560 ISHARES 20 YEAR ETFTREASURY BOND ETF 464287432 13792 96391 SH SOLE 0 0 96391 ISHARES CORE ETFDIVIDEND GROWTH ETF 46434V621 829 21175 SH SOLE 0 0 21175 ISHARES CORE MSCI ETFEAFE ETF ETF 46432F842 2268 37139 SH SOLE 0 0 37139 ISHARES CORE S&P ETFSMALLCAP ETF 464287804 5953 76482 SH SOLE 0 0 76482 ISHARES CORE S&P 500 ETFS&P 500 INDEX FD ETF 464287200 32840 110010 SH SOLE 0 0 110010 ISHARES CORE S&P MID ETFETF ETF 464287507 30520 157947 SH SOLE 0 0 157947 ISHARES CORE U S ETFAGGREGATE BOND ETF 464287226 367 3247 SH SOLE 0 0 3247 ISHARES EDGE MSCI ETFMIN VOL EMERGING MARKETSETF ETF 464286533 5164 90457 SH SOLE 0 0 90457 ISHARES EDGE MSCI ETFMIN VOL GLOBAL ETF ETF 464286525 19900 210030 SH SOLE 0 0 210030 ISHARES EDGE MSCI ETFMIN VOL USA ETF ETF 46429B697 10710 167079 SH SOLE 0 0 167079 ISHARES EDGE MSCI ETFMULTIFACTOR USA ETF 46434V282 1600 50119 SH SOLE 0 0 50119 ISHARES EDGE MSCI ETFUSA QUALITY FACTOR ETF ETF 46432F339 1006 10890 SH SOLE 0 0 10890 ISHARES GLOBAL REIT ETF ETF 46434V647 1060 37745 SH SOLE 0 0 37745 ISHARES IBOXX & ETFINVESTMENT GRADE CORP BD ETF 464287242 3167 24842 SH SOLE 0 0 24842 ISHARES INC ETFCORE MSCI EMERGING MKTS ETF 46434G103 6877 140295 SH SOLE 0 0 140295 ISHARES JP MORGAN ETFUSD EMERGING MAKETS BOND ETF 464288281 2372 20926 SH SOLE 0 0 20926 ISHARES MBS ETF ETF 464288588 431 3979 SH SOLE 0 0 3979 ISHARES MSCI EAFE IN ETF ETF 464287465 804 12327 SH SOLE 0 0 12327 ISHARES NASDAQ ETFBIOTECHNOLOGY ETF 464287556 384 3856 SH SOLE 0 0 3856 ISHARES RUSSELL ETFMIDCAP ETF 464287499 1115 19924 SH SOLE 0 0 19924 ISHARES S&P 500 ETFGROWTH ETF 464287309 349 1939 SH SOLE 0 0 1939 ISHARES S&P500 VALUE ETF ETF 464287408 771 6471 SH SOLE 0 0 6471 ISHARES SELECT ETFDIVIDEND ETF 464287168 457 4487 SH SOLE 0 0 4487 ISHARES SHORT ETFMATURITY BOND ETF 46431W507 822 16330 SH SOLE 0 0 16330 ISHARES TIP BOND ETF ETF 464287176 295 2539 SH SOLE 0 0 2539 ISHARES TR ETFEDGE MSCI MINIMUMVOLUME USA SM CAP ETF 46435G433 204 5950 SH SOLE 0 0 5950 ISHARES TR ETFEXPONENTIAL TECHNOLOGIES ETF 46434V381 3037 78554 SH SOLE 0 0 78554 ISHARES TREASURY ETFFLOATING RATE ETF ETF 46434V860 6854 136323 SH SOLE 0 0 136323 JOHNSON & JOHNSON COM 478160104 2946 22773 SH SOLE 0 0 22773 JPMORGAN ETFULTRA-SHORT INCOME ETF 46641Q837 2879 57104 SH SOLE 0 0 57104 JPMORGAN CHASE & CO COM 46625H100 10305 87563 SH SOLE 0 0 87563 JPMORGAN CHASE & CO ETNALERIAN MLP INDEX ETNBASED ON WAP MAT05/24/24 COM 46625H365 647 27800 SH SOLE 0 0 27800 KAR AUCTION SERVICES INC COM 48238T109 283 11547 SH SOLE 0 0 11547 L3HARRIS TECHNOLOGIESINC 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571903902 65 500 SH SOLE 0 0 500 MARSH AND MC LENNANCOMPANIES INC COM 571748102 917 9166 SH SOLE 0 0 9166 MASTEC INC COM 576323109 13 200 SH SOLE 0 0 200 MASTEC INC OPT 576323909 205 3700 SH SOLE 0 0 3700 MASTERCARD INC CL A COM 57636Q104 215 793 SH SOLE 0 0 793 MCDONALDS CORP COM 580135101 1235 5751 SH SOLE 0 0 5751 MCKESSON CORPORATION COM 58155Q103 389 2844 SH SOLE 0 0 2844 MCKESSON CORPORATION OPT 58155Q903 990 6600 SH SOLE 0 0 6600 MEDTRONIC PLC COM G5960L103 605 5565 SH SOLE 0 0 5565 MEDTRONIC PLC OPT G5960L903 27 300 SH SOLE 0 0 300 MERCK & CO INC NEW COM 58933Y105 1490 17701 SH SOLE 0 0 17701 MICROCHIP TECHNOLOGY INC COM 595017104 265 2850 SH SOLE 0 0 2850 MICROSOFT CORP COM 594918104 12697 91325 SH SOLE 0 0 91325 MKS INSTRUMENTS INC COM 55306N104 672 7283 SH SOLE 0 0 7283 MONDELEZ INTL INC COM 609207105 245 4432 SH SOLE 0 0 4432 MONMOUTH REAL ESTATEREIT INVT CORP CL A COM 609720107 146 10120 SH SOLE 0 0 10120 MRC GLOBAL INC COM 55345K103 967 79700 SH SOLE 0 0 79700 MRC GLOBAL INC OPT 55345K903 66 4000 SH SOLE 0 0 4000 NASDAQ INC COM 631103108 256 2574 SH SOLE 0 0 2574 NETFLIX COM INC ETF 64110L106 4436 16575 SH SOLE 0 0 16575 NEWMARK GRP INCCL A COM 65158N102 2311 255075 SH SOLE 0 0 255075 NEXTERA ENERGY INC COM 65339F101 3762 16145 SH SOLE 0 0 16145 NIKE INC CLASS B COM 654106103 1219 12984 SH SOLE 0 0 12984 NORFOLK SOUTHERN CORP COM 655844108 282 1567 SH SOLE 0 0 1567 NOVARTIS AGSPON ADR COM 66987V109 282 3242 SH SOLE 0 0 3242 NUVEEN MUNICIPAL CREDITINCOME FUND FND 67070X101 212 13050 SH SOLE 0 0 13050 NUVEEN MUNICIPAL VALUEFUND INC FND 670928100 177 16805 SH SOLE 0 0 16805 NXP SEMICONDUCTORS NV COM N6596X109 231 2120 SH SOLE 0 0 2120 NXP SEMICONDUCTORS NV OPT N6596X909 42 400 SH SOLE 0 0 400 OCCIDENTAL PETE CORP COM 674599105 107 2396 SH SOLE 0 0 2396 OCCIDENTAL PETE CORP OPT 674599905 241 3700 SH SOLE 0 0 3700 ORACLE CORPORATION COM 68389X105 700 12729 SH SOLE 0 0 12729 PACER FDS TR ETFTRENDPILOT 100 ETF ETF 69374H303 210 5840 SH SOLE 0 0 5840 PACER FDS TR ETFTRENDPILOT 750 ETF ETF 69374H105 514 16530 SH SOLE 0 0 16530 PAYPAL HOLDINGS INC COM 70450Y103 1808 17458 SH SOLE 0 0 17458 PCM FUND INC FND 69323T101 154 13822 SH SOLE 0 0 13822 PEPSICO INCORPORATED COM 713448108 962 7015 SH SOLE 0 0 7015 PFIZER INCORPORATED COM 717081103 659 18332 SH SOLE 0 0 18332 PHILIP MORRISINTERNATIONAL INC COM 718172109 1313 17298 SH SOLE 0 0 17298 PHILLIPS 66 COM 718546104 783 7651 SH SOLE 0 0 7651 PHILLIPS 66 OPT 718546904 426 4300 SH SOLE 0 0 4300 PIMCO MUNICIPAL INCOMEFUND II FND 72200W106 180 11450 SH SOLE 0 0 11450 PNC FINANCIAL SERVICESGROUP COM 693475105 368 2623 SH SOLE 0 0 2623 PROCTER & GAMBLE CO COM 742718109 1004 8071 SH SOLE 0 0 8071 PROSHARES TR ETFSHORT S&P 500 NEW ETF 74347B425 403 15407 SH SOLE 0 0 15407 PUBLIC SVC ENTERPRISEGROUP INC COM 744573106 334 5374 SH SOLE 0 0 5374 QUALCOMM INC COM 747525103 377 4940 SH SOLE 0 0 4940 QUALCOMM INC OPT 747525903 104 1200 SH SOLE 0 0 1200 QURATE RETAIL INCSER A COM 74915M100 304 29496 SH SOLE 0 0 29496 REALPAGE INC COM 75606N109 277 4400 SH SOLE 0 0 4400 REALTY INCOME CORPREIT COM 756109104 366 4769 SH SOLE 0 0 4769 REDFIN CORP OPT 75737F908 262 15400 SH SOLE 0 0 15400 REGENERON PHARMACEUTICALINC OPT 75886F907 338 1100 SH SOLE 0 0 1100 REPUBLIC SVCS INC COM 760759100 4285 49510 SH SOLE 0 0 49510 RIO TINTO PLCSPONSORED ADR COM 767204100 406 7800 SH SOLE 0 0 7800 RYMAN HOSPITALITY PPTYS COM 78377T107 589 7197 SH SOLE 0 0 7197 SALESFORCE COM COM 79466L302 493 3318 SH SOLE 0 0 3318 SCHLUMBERGER LTD COM 806857108 498 14565 SH SOLE 0 0 14565 SCHLUMBERGER LTD OPT 806857908 750 15000 SH SOLE 0 0 15000 SCHWAB CHARLES CORP NEW COM 808513105 256 6114 SH SOLE 0 0 6114 SCHWAB US LARGE-CAP ETFVALUE ETF 808524409 1649 29071 SH SOLE 0 0 29071 SCULPTOR CAP MGMT CL A COM 811246107 298 15311 SH SOLE 0 0 15311 SELECT SECTOR SPDR ETFCOMMUNICATION SVCSSELECT SECTOR SPDR FD ETF 81369Y852 641 12950 SH SOLE 0 0 12950 SELECT SECTOR SPDR ETFTR FINANCIAL ETF 81369Y605 619 22121 SH SOLE 0 0 22121 SELECT SECTOR SPDR ETFTR REAL ESTATE SELECTSECTOR SPDR FD ETF 81369Y860 478 12152 SH SOLE 0 0 12152 SELECT SECTOR SPDR F ETFHEALTH CARE ETF 81369Y209 1017 11285 SH SOLE 0 0 11285 SELECT SECTOR SPDR T ETFCONSUMER STAPLES ETF 81369Y308 461 7509 SH SOLE 0 0 7509 SELECT SECTOR SPDR T ETFUTILITIES SELECT SECTOR ETF 81369Y886 532 8218 SH SOLE 0 0 8218 SEMPRA ENERGY COM 816851109 469 3180 SH SOLE 0 0 3180 SPDR BLOOMBERG ETFBARCLAYS CONVERTIBLESECURITIES ETF ETF 78464A359 407 7760 SH SOLE 0 0 7760 SPDR S&P 500 TRUST ETF ETF 78462F103 8424 28387 SH SOLE 0 0 28387 SPDR S&P 500 TRUST ETF OPT 78462F903 407 1300 SH SOLE 0 0 1300 SPDR S&P 500 TRUST ETF OPT 78462F953 15149 56700 SH SOLE 0 0 56700 SPDR S&P DIVIDEND ETF ETF 78464A763 221 2150 SH SOLE 0 0 2150 SPDR S&P MIDCAP 400 ETFTRUST SERIES N ETF 78467Y107 537 1523 SH SOLE 0 0 1523 SPDR SER TR ETFBLOOMBERG BARCLAYSAGGREGATE BD ETF 78464A649 208 7017 SH SOLE 0 0 7017 SPDR SER TR ETFSPDR BLOOMBERG BARCLAYS1-3 MNTH T BILL ETF NEW ETF 78468R663 1198 13083 SH SOLE 0 0 13083 STARBUCKS CORP COM 855244109 1016 11496 SH SOLE 0 0 11496 SYSCO CORPORATION COM 871829107 224 2827 SH SOLE 0 0 2827 TARGET CORP COM 87612E106 200 1874 SH SOLE 0 0 1874 TE CONNECTIVITY LTD COM H84989104 656 7044 SH SOLE 0 0 7044 TEXAS INSTRUMENTS INC COM 882508104 574 4440 SH SOLE 0 0 4440 TEXAS ROADHOUSE INC COM COM 882681109 433 8247 SH SOLE 0 0 8247 THERMO FISHER SCIENTIFICINC COM 883556102 975 3346 SH SOLE 0 0 3346 TJX COS INC NEW COM 872540109 391 7009 SH SOLE 0 0 7009 TRAVELERS COS INC/ THE COM 89417E109 223 1502 SH SOLE 0 0 1502 TWITTER INC COM 90184L102 368 8930 SH SOLE 0 0 8930 UNION PACIFIC CORP COM 907818108 388 2397 SH SOLE 0 0 2397 UNITED TECHNOLOGIES CORP COM 913017109 641 4693 SH SOLE 0 0 4693 UNITEDHEALTH GROUPINC COM 91324P102 612 2817 SH SOLE 0 0 2817 UNIVERSAL CORP VIRGINIA COM 913456109 2325 42425 SH SOLE 0 0 42425 US BANCORP NEW COM 902973304 368 6649 SH SOLE 0 0 6649 V F CORPORATION COM 918204108 1513 16999 SH SOLE 0 0 16999 VALERO ENERGY CORP NEW(VALERO REFNG & MKTING) COM 91913Y100 732 8590 SH SOLE 0 0 8590 VANECK VECTORS ETFTR JP MORGAN EMERGINGMKT LOC CURRENCY BD NEW ETF 92189H300 239 7250 SH SOLE 0 0 7250 VANECK VECTORS TR ETFMORNINGSTAR WIDE MOATETF ETF 92189F643 539 10744 SH SOLE 0 0 10744 VANECK VECTORS TR ETFPFD SECS EX FINL ETF ETF 92189F429 277 13650 SH SOLE 0 0 13650 VANECK VECTORS TR ETFPHARMACEUTICAL ETF ETF 92189F692 619 10870 SH SOLE 0 0 10870 VANGUARD DIVIDEND ETFAPPRECIATION ETF 921908844 7531 62983 SH SOLE 0 0 62983 VANGUARD EXTENDED ETFMARKET ETF 922908652 1403 12064 SH SOLE 0 0 12064 VANGUARD FINANCIALS ETF ETF 92204A405 1194 17060 SH SOLE 0 0 17060 VANGUARD FTSE ETFDEVELOPED MARKETS ETF ETF 921943858 17615 428795 SH SOLE 0 0 428795 VANGUARD GLOBAL ETFEX-U S REAL ESTATE ETF 922042676 514 8765 SH SOLE 0 0 8765 VANGUARD GROWTH ETF ETF 922908736 356 2143 SH SOLE 0 0 2143 VANGUARD HEALTH CARE ETF ETF 92204A504 2999 17884 SH SOLE 0 0 17884 VANGUARD INDEX FDS ETFREAL ESTATE INDEX FD ETF 922908553 2040 21874 SH SOLE 0 0 21874 VANGUARD INDEX FDS ETFS&P 500 ETF SHS NEW ETF 922908363 8142 29869 SH SOLE 0 0 29869 VANGUARD INTL EQTY ETFINDEX FDS FTSE ALL WORLDEX US ETF 922042775 2245 44989 SH SOLE 0 0 44989 VANGUARD INTL EQUITY ETFINDEX FDS FTSE EMERGINGMKTS ETF ETF 922042858 37613 934263 SH SOLE 0 0 934263 VANGUARD MID CAP ETF ETF 922908629 1186 7077 SH SOLE 0 0 7077 VANGUARD MID-CAP ETFGROWTH FUND ETF 922908538 317 2137 SH SOLE 0 0 2137 VANGUARD MID-CAP VAL ETFINDEX FUND ETF 922908512 216 1914 SH SOLE 0 0 1914 VANGUARD S&P 500 ETFGROWTH ETF 921932505 642 3972 SH SOLE 0 0 3972 VANGUARD SHORT TERM ETFCORP BD ETF 92206C409 1635 20173 SH SOLE 0 0 20173 VANGUARD SHORT-TERM ETFTREASURY INDEX ETF 92206C102 362 5946 SH SOLE 0 0 5946 VANGUARD SMALL CAP ETF ETF 922908751 3237 21036 SH SOLE 0 0 21036 VANGUARD SMALL CAP ETFGROWTH ETF 922908595 2381 13078 SH SOLE 0 0 13078 VANGUARD SMALL CAP V ETFETF ETF 922908611 276 2140 SH SOLE 0 0 2140 VANGUARD TOTAL INTL ETFBOND ETF 92203J407 390 6627 SH SOLE 0 0 6627 VANGUARD TOTAL STOCK ETFMARKET ETF ETF 922908769 1764 11685 SH SOLE 0 0 11685 VANGUARD TOTAL WORLD ETFSTOCK INDEX FUND ETF 922042742 218 2908 SH SOLE 0 0 2908 VERIZON COMMUNICATIONSCOM COM 92343V104 598 9903 SH SOLE 0 0 9903 VIACOM INC CL B COM 92553P201 312 12983 SH SOLE 0 0 12983 VISA INC CLASS A COM 92826C839 3942 22916 SH SOLE 0 0 22916 VISA INC CLASS A OPT 92826C909 1145 6800 SH SOLE 0 0 6800 WALGREENS BOOTSALLIANCE INC COM 931427108 1161 20997 SH SOLE 0 0 20997 WALGREENS BOOTSALLIANCE INC OPT 931427908 725 12300 SH SOLE 0 0 12300 WALMART INC COM 931142103 1690 14239 SH SOLE 0 0 14239 WALMART INC OPT 931142903 188 1500 SH SOLE 0 0 1500 WATERS CORPORATION COM 941848103 526 2358 SH SOLE 0 0 2358 WEC ENERGY GROUP INC COM 92939U106 393 4135 SH SOLE 0 0 4135 WELLS FARGO & CO NEW COM 949746101 271 5382 SH SOLE 0 0 5382 WISDOMTREE EMERGING ETFMARKETS HIGH DIVIDEND FD ETF 97717W315 217 5253 SH SOLE 0 0 5253 YUM BRANDS INC COM 988498101 279 2456 SH SOLE 0 0 2456 ZOETIS INCCLASS A COM 98978V103 504 4048 SH SOLE 0 0 4048