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Investment Adviser Firm Summary

WAYNE HUMMER INVESTMENTS L.L.C. (CRD# 875 / SEC# 8-484, 801-64233)
Alternate Names: FCB ADVISORS , GRUNDY INVESTMENTS , INVESTMENT SERVICES - A DIVISION OF MORTON COMMUNITY BANK , STOFAN AGAZZI INVESTMENTS , UCB FINANCIAL SERVICES , WAYNE HUMMER & CO. , WAYNE HUMMER INSURANCE AGENCY, LLC , WAYNE HUMMER INVESTMENTS , WAYNE HUMMER INVESTMENTS L.L.C. , WINTRUST WEALTH MANAGEMENT , WINTRUST WEALTH SERVICES

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/20/2005

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/16/2008
Alaska 03/21/2013
Arizona 01/16/2008
Arkansas 01/16/2008
California 03/28/2006
Colorado 03/28/2006
Connecticut 01/16/2008
Delaware 03/21/2013
District of Columbia 01/16/2008
Florida 06/09/2005
Georgia 01/16/2008
Hawaii 01/16/2008
Idaho 03/21/2013
Illinois 05/23/2005
Indiana 05/20/2005
Iowa 03/29/2006
Kansas 01/16/2008
Kentucky 01/16/2008
Louisiana 01/16/2008
Maine 03/21/2013
Maryland 01/16/2008
Massachusetts 05/24/2005
Michigan 03/28/2006
Minnesota 02/07/2008
Mississippi 03/21/2013
Missouri 01/16/2008
Montana 01/16/2008
Nebraska 01/16/2008
Nevada 05/20/2005
New Hampshire 03/21/2013
New Jersey 03/28/2006
New Mexico 01/16/2008
New York 01/16/2008
North Carolina 01/16/2008
North Dakota 07/24/2008
Ohio 01/16/2008
Oklahoma 03/28/2006
Oregon 01/16/2008
Pennsylvania 01/16/2008
Rhode Island 03/21/2013
South Carolina 01/16/2008
South Dakota 03/21/2013
Tennessee 01/17/2008
Texas 05/20/2005
Utah 03/21/2013
Vermont 03/21/2013
Virginia 01/16/2008
Washington 01/16/2008
West Virginia 03/21/2013
Wisconsin 09/20/2005

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser