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Thomas Joseph Kiernan

WINTRUST INVESTMENTS, LLC·CHICAGO, Illinois
SIE, Series 7, Series 24, Series 52, Series 53, Series 55, Series 57TO, Series 63, Series 99TOClean recordWINTRUST INVESTMENTS, LLC
231 SOUTH LASALLE STREET, CHICAGO, IL 60604CRD# 714859Firm CRD# 875

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Thomas Joseph Kiernan · CHICAGO, IL
Registration
CRD #714859 · WINTRUST INVESTMENTS, LLC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 24
Series 52
Series 53
Series 55
Series 57TO
Series 63
Series 99TO
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
WINTRUST INVESTMENTS, LLC
CRD 875 · SEC 801-64233
AUM
$14.4B
Regulatory assets under management
Employees
178
10,969 client accounts
Services offered by WINTRUST INVESTMENTS, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at WINTRUST INVESTMENTS, LLC →
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Frequently Asked Questions

What services does Thomas Joseph Kiernan offer?
Thomas Joseph Kiernan specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in CHICAGO, Illinois for a consultation.
What are Thomas Joseph Kiernan's credentials?
Thomas Joseph Kiernan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Thomas Joseph Kiernan located?
Thomas Joseph Kiernan is based in CHICAGO, Illinois, working with WINTRUST INVESTMENTS, LLC. Their office serves clients in the CHICAGO metropolitan area and surrounding communities.
How does Thomas Joseph Kiernan charge for services?
Thomas Joseph Kiernan's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is WINTRUST INVESTMENTS, LLC?
WINTRUST INVESTMENTS, LLC has approximately 178 employees and manages $14.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at WINTRUST INVESTMENTS, LLC

James Alfred Jr Sommerfield
CHICAGO, IL
James Edward Corbett
CHICAGO, IL
Terrance Gregory Hughes
CHICAGO, IL
Elliott Joseph Silver
CHICAGO, IL
Michelle Kay Biondo
CHICAGO, IL
Michael J Smyth
CHICAGO, IL

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