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Stephen Charles Baby

Rothschild Investment LLC

Chicago, IL

Chicago, IL

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Current Employers
Rothschild Investment Llc

311 South Wacker Drive Suite 5900, Chicago, IL 60606-6677 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-05-06
  • IL RA
    APPROVED
    Since 2022-05-06

Branch Locations

311 South Wacker Drive Suite 5900, Chicago, IL 60606-6677 • United States

311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Bank Na Northbrook IL 04/2018 05/2022
Jpmorgan Securities Llc Northbrook IL 04/2018 05/2022
Wilgrove Capital Llc Chicago IL 03/2014 11/2016
Ronin Capital Llc Chicago IL 11/2016 04/2018
Rothschild Investment Corporation Chicago IL 05/2022 Present
  • 04/2018 → 05/2022
    Jpmorgan Chase Bank Na
    Northbrook, IL
  • 04/2018 → 05/2022
    Jpmorgan Securities Llc
    Northbrook, IL
  • 03/2014 → 11/2016
    Wilgrove Capital Llc
    Chicago, IL
  • 11/2016 → 04/2018
    Ronin Capital Llc
    Chicago, IL
  • 05/2022 → Present
    Rothschild Investment Corporation
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-04-28
S63 Uniform Securities Agent State Law Examination 2018-07-12
  • S65 Uniform Investment Adviser Law Examination
    2022-04-28
  • S63 Uniform Securities Agent State Law Examination
    2018-07-12
Other Names
  • Stephen Charles Baby
  • Stephen Baby

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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