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Current Employers
Rothschild Investment Llc

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2026-04-13
IL RA APPROVED 2020-06-02
  • CO RA
    APPROVED
    Since 2026-04-13
  • IL RA
    APPROVED
    Since 2020-06-02

Branch Locations

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

Broomfield, CO • 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
Rothschild Investment Llc Chicago IL 10/2009 Present
Previous Registrations
  • 2007-03-15 → 2009-09-21
    Wells Fargo Investments, Llc
    Denver, CO
    Denver, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-14
  • S66 Uniform Combined State Law Examination
    2007-03-14
Designations

View on SEC IAPD

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