Sr. Compliance Officer

0000049096-23-000005.txt : 20230509 0000049096-23-000005.hdr.sgml : 20230509 20230509155650 ACCESSION NUMBER: 0000049096-23-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230509 DATE AS OF CHANGE: 20230509 EFFECTIVENESS DATE: 20230509 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: 23901731 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 X0202 13F-HR LIVE false false false 0000049096 XXXXXXXX 03-31-2023 03-31-2023 WINTRUST INVESTMENTS LLC

P.O. BOX 750 CHICAGO IL 60690-0750

13F HOLDINGS REPORT 028-17513 000000875 801-64233 N James Sommerfield Sr. Compliance Officer 3123731167 James Sommerfield Chicago IL 05-09-2023 0 357 783797000 false INFORMATION TABLE 2 LST13FREPORTQ12023.xml WTI13F03312023 ABBOTT LABORATORIES COM 002824100 2478 24476 SH SOLE 0 0 24476 ADVANCED MICRO DEVICES INC COM 007903107 314 3201 SH SOLE 0 0 3201 AIR PRODUCTS & CHEMICALS INC COM 009158106 512 1781 SH SOLE 0 0 1781 ALBEMARLE CORP COM 012653101 823 3725 SH SOLE 0 0 3725 ALIGN TECH INC COM 016255101 203 607 SH SOLE 0 0 607 AMAZON COM INC COM 023135106 9209 89160 SH SOLE 0 0 89160 AMERICAN EXPRESS COMPANY COM 025816109 1798 10903 SH SOLE 0 0 10903 AMGEN INC COM 031162100 12697 52523 SH SOLE 0 0 52523 CALL AMGEN INC OPT 031162900 304 1500 SH SOLE 0 0 1500 AMPHENOL CORP NEW CL A COM 032095101 962 11770 SH SOLE 0 0 11770 ELEVANCE HEALTH INC COM 036752103 234 508 SH SOLE 0 0 508 APPLE INC COM 037833100 31631 191819 SH SOLE 0 0 191819 APPLIED MATERIALS INC COM 038222105 529 4308 SH SOLE 0 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SH SOLE 0 0 9529 CAPITAL GRP INTL ETF FOCUS EQUITY SHS CREATION UNIT ETF 14019W109 320 13801 SH SOLE 0 0 13801 CAPITAL GRP GROWTH ETF SHS CREATION UNIT ETF 14020G101 477 21246 SH SOLE 0 0 21246 CAPITAL GRP CORE ETF EQUITY SHS CREATION UNIT ETF 14020V108 239 10093 SH SOLE 0 0 10093 CAPITAL GRP DIVIDEND ETF VALUE SHS CREATION UNIT ETF 14020W106 3455 138535 SH SOLE 0 0 138535 CARDINAL HEALTH INC COM 14149Y108 2396 31732 SH SOLE 0 0 31732 CARRIER GLOBAL CORP COM 14448C104 236 5160 SH SOLE 0 0 5160 CHEMED CORP COM 16359R103 607 1129 SH SOLE 0 0 1129 CISCO SYSTEMS INC COM 17275R102 3561 68125 SH SOLE 0 0 68125 CALL CISCO SYSTEMS OPT 17275R902 582 11500 SH SOLE 0 0 11500 COMCAST CORP NEW CL A COM 20030N101 611 16128 SH SOLE 0 0 16128 CONOCOPHILLIPS COM 20825C104 323 3251 SH SOLE 0 0 3251 CORTEVA INC COM 22052L104 238 3947 SH SOLE 0 0 3947 COSTCO WHSL CORP NEW COM COM 22160K105 3077 6193 SH SOLE 0 0 6193 CROWN CASTLE INC COM 22822V101 235 1759 SH SOLE 0 0 1759 DELL TECHNOLOGIES INC CL C COM 24703L202 454 11292 SH SOLE 0 0 11292 DEVON ENERGY CORP COM 25179M103 688 13586 SH SOLE 0 0 13586 DOMINO'S PIZZA INC COM 25754A201 665 2016 SH SOLE 0 0 2016 DRAFTKINGS INC NEW CL A COM 26142V105 1680 86793 SH SOLE 0 0 86793 DUKE ENERGY CORP COM NEW COM 26441C204 466 4835 SH SOLE 0 0 4835 DUN & BRADSTREET HOLDINGS INC COM 26484T106 573 48850 SH SOLE 0 0 48850 DUPONT DE NEMOURS INC COM 26614N102 1114 15526 SH SOLE 0 0 15526 ENBRIDGE INC COM 29250N105 436 11430 SH SOLE 0 0 11430 ENERGY TRANSFER LP COM 29273V100 287 23025 SH SOLE 0 0 23025 EXTRA SPACE STORAGE INC COM 30225T102 550 3373 SH SOLE 0 0 3373 EXXON MOBIL CORP COM 30231G102 3675 33510 SH SOLE 0 0 33510 CALL EXXON MOBIL CORP OPT 30231G902 691 9600 SH SOLE 0 0 9600 META PLATFORMS INC CLASS A COM 30303M102 2517 11874 SH SOLE 0 0 11874 CALL META PLATFORMS INC OPT 30303M902 233 1200 SH SOLE 0 0 1200 FIDELITY NATIONAL INFORMATION SVCS COM 31620M106 219 4030 SH SOLE 0 0 4030 FIRST TR VALUE LINE ETF ETF 33734H106 10003 249089 SH SOLE 0 0 249089 FIRST TRUST ENERGY ETF ALPHADEX FUND ETF 33734X127 444 28597 SH SOLE 0 0 28597 FIRST TRUST ETF FINANCIAL ALPHADEX FUND ETF 33734X135 511 13694 SH SOLE 0 0 13694 FIRST TRST HLTH CAREETF ALPHADEX FUND ETF 33734X143 1342 12481 SH SOLE 0 0 12481 FIRST TRUST MATERIAL ETF ALPHADEX FUND ETF 33734X168 538 8235 SH SOLE 0 0 8235 FIRST TR NASDAQ ETF CYBERSECURITY ETF 33734X846 423 9900 SH SOLE 0 0 9900 FIRST TR ETF II ETF INTL IPO ETF ETF 33734X853 421 10315 SH SOLE 0 0 10315 FIRST TRUST STOXX ETF EUROPEAN SELECT DIVID INDEX FUND ETF 33735T109 331 28353 SH SOLE 0 0 28353 FIRST TRUST FD IV ETF NORTH AMERICAN ENERGY INFRASTRUCTURE FUND ETF 33738D101 911 34212 SH SOLE 0 0 34212 FIRST TR FUND IV ETF SENIOR LOAN FUND ETF 33738D309 285 6307 SH SOLE 0 0 6307 FIRST TRUST RISING ETF DIVIDEND ACHIEVERS ETF 33738R506 1538 34269 SH SOLE 0 0 34269 FIRST TR DORSEY ETF WRIGHT FOCUS FIVE FUND ETF 33738R605 3225 71535 SH SOLE 0 0 71535 FIRST TR MANAGED ETF MUNICIPAL ETF 33739N108 358 7036 SH SOLE 0 0 7036 FIRST TR ETF III ETF EMERGING MARKETS LOCAL CURRENCY BD EFT ETF 33739P202 272 9823 SH SOLE 0 0 9823 FIRST TR ETF IV ETF FIRST TR LOW DURATION MTG OPPORTUNITIES ETF ETF 33739Q200 2336 48801 SH SOLE 0 0 48801 FIRST TR ENHANCED ETF SHORT MATURITY ETF 33739Q408 8927 150000 SH SOLE 0 0 150000 FIRST TR EXCHANGE ETF TRADED FD IV SSI STRATEGIC CONV SECS ETF 33739Q507 262 8225 SH SOLE 0 0 8225 FIRST TR ETF FD VII ETF TCW OPPORTUNISTIC FXD INCOME ETF ETF 33740F805 451 10017 SH SOLE 0 0 10017 FIRST TR VII ETF CBOE VEST U S EQUITY DEEP BUFFER AUGUST ETF 33740F854 2190 68166 SH SOLE 0 0 68166 FIRST TR FD VIII ETF TCW UNCONSTRAINED PLUS BOND ETF 33740F888 7538 311362 SH SOLE 0 0 311362 FIRST TR HIGH YIELD OPPORTUNITIES 2027 TERM FD CEF 33741Q107 165 11850 SH SOLE 0 0 11850 FIRST TR ETF VI ETF SMID CAP RISING DIVID ACHIEVERS ETF 33741X102 649 24340 SH SOLE 0 0 24340 GABELLI DIVIDEND & INCOME TRUST CEF 36242H104 810 38943 SH SOLE 0 0 38943 GE HEALTHCARE TECHS INC COM 36266G107 463 5642 SH SOLE 0 0 5642 GENERAL MOTORS CO COM 37045V100 228 6217 SH SOLE 0 0 6217 GSK PLC ADR SPONSORED ADR NEW COM 37733W204 555 15612 SH SOLE 0 0 15612 GOLDMAN SACHS GROUP INC COM 38141G104 2134 6523 SH SOLE 0 0 6523 CALL GOLDMAN SACHS GRP OPT 38141G904 3950 11900 SH SOLE 0 0 11900 HP INC COM 40434L105 617 21022 SH SOLE 0 0 21022 HIMAX TECHNOLOGIES INC ADR COM 43289P106 100 12315 SH SOLE 0 0 12315 CALL INVESCO QQQ TR OPT 46090E903 372 1200 SH SOLE 0 0 1200 INVESCO OPTIMUM YLD ETF DIVERSIFIED COMMODITY STRATEGY NO K-1 ETF 46090F100 2986 209991 SH SOLE 0 0 209991 INTUITIVE SURGICAL INC COM NEW COM 46120E602 10120 39613 SH SOLE 0 0 39613 INVESCO TR ETF S&P 500 QUALITY ETF 46137V241 416 8791 SH SOLE 0 0 8791 INVESCO TR ETF S&P 500 EQUAL WEIGHT PURE GROWTH ETF 46137V266 1141 7551 SH SOLE 0 0 7551 INVESCO ETF BUYBACK ACHIEVERS ETF ETF 46137V308 390 4584 SH SOLE 0 0 4584 INVESCO TR ETF S&P 500 EQUAL WEIGHT HEALTH CARE ETF 46137V332 2670 9153 SH SOLE 0 0 9153 INVESCO TR ETF S&P 500 EQUAL WEIGHT FINL ETF 46137V340 1234 24454 SH SOLE 0 0 24454 INVESCO TR ETF S&P 500 EQUAL WEIGHT ETF 46137V357 4893 33837 SH SOLE 0 0 33837 INVESCO TR ETF S&P 500 EQUAL WEIGHT ENERGY ETF 46137V365 567 8295 SH SOLE 0 0 8295 INVESCO ETF INTL DIVID ACHIEVERS ETF 46137V548 1066 59762 SH SOLE 0 0 59762 INVESCO ETF FINL PFD ETF 46137V621 180 12412 SH SOLE 0 0 12412 INVESCO ETF DWA MOMENTUM ETF ETF 46137V837 843 11102 SH SOLE 0 0 11102 INVESCO TR II ETF S&P 500 LOW VOLATILITY ETF 46138E354 2722 43620 SH SOLE 0 0 43620 INVESCO TR II ETF RUSSELL 1000 EQUAL WEIGHT ETF 46138E420 705 17150 SH SOLE 0 0 17150 INVESCO TR II ETF DWA SMALLCAP MOMENTUM ETF 46138E842 307 4161 SH SOLE 0 0 4161 INVESCO EXCHANGE ETF BULLETSHARES 2024 CORPORATE BD ETF 46138J841 224 10891 SH SOLE 0 0 10891 INVESCO EXCHANGE ETF BULLETSHARES 2023 HIGH YIELD CORPORATE BD ETF 46138J858 634 26900 SH SOLE 0 0 26900 INVESCO EXCHANGE ETF BULLETSHARES 2023 CORPORATE BD ETF 46138J866 5672 269065 SH SOLE 0 0 269065 ISHARES ETF FLOATING RATE BOND ETF 46429B655 267 5304 SH SOLE 0 0 5304 ISHARES EDGE MSCI ETF MIN VOL USA ETF ETF 46429B697 2401 33005 SH SOLE 0 0 33005 ISHARES CORE MSCI ETF EAFE ETF ETF 46432F842 460 6878 SH SOLE 0 0 6878 CALL SPDR KBW REGNL BNKG OPT 78464A902 493 11100 SH SOLE 0 0 11100 CALL SELECT SECTOR SPDR OPT 81369Y900 2480 73500 SH SOLE 0 0 73500 CALL ENERGY SELECT OPT 81369Y906 4307 53100 SH SOLE 0 0 53100 CALL VISA OPT 92826C909 1167 5600 SH SOLE 0 0 5600 CALL ACCENTURE PLC OPT G1151C901 1329 4500 SH SOLE 0 0 4500