Full text of ROTHSCHILD INVESTMENT LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2023 Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Nov. 30, 2026 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-16429 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/2023 AND ENDING 12/31/2023 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: ROTHSCHILD INVESTMENT LLC TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer | Security-based swap dealer | | Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 311 SOUTH WACKER DRIVE, SUITE 5900 (No. and Street) CHICAGO 60606-6618 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING CURTIS ELLERGODT 630-448-5711 cellergodt@rothschildinv.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* WIPFI III P (Name - if individual, state last, first, and middle name) 1 N. WACKER DRIVE CHICAGO 60606 (Address) (City) (State) (Zip Code) 09/18/2003 344 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. CFR 240.17a-5(e)(1)(ii), if applicable. {2}------------------------------------------------ #### OATH OR AFFIRMATION | CURTIS ELLERGODT | swear (or affirm) that, to the best of my knowledge and belief, the | | |----------------------------------------------------------------------|-----------------------------------------------------------------------------------------|-------| | tinancial report pertaining to the firm of ROTHSCHILD INVESTMENT LLC | | as of…Read the full text as markdown