ROTHSCHILD INVESTMENT LLC of CHICAGO, IL is an SEC-registered investment adviser (CRD 728). Regulatory assets under management: $2.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Joel Edward Solomon | MEMBER, OFFICER | — |
| Phillip Eugene Johnson | MEMBER, PRESIDENT | — |
| James Allyn Franke | MEMBER, OFFICER | — |
| Curtis Robert Ellergodt | FINOP | — |
| Brian Douglas Lenart | CCO/AMLCO | — |
| JOHNSON BRENT EUGENE | MEMBER, PRESIDENT | — |
| DRAKE MICHAEL CHARLES | EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO; OFFICER, CCO; VICE PRESIDENT / CHIEF COMPLIANCE OFFICER (+6 more) | — |
| KOVITZ MITCHELL ARMIN | PRESIDENT, CHIEF OPERATING OFFICER, DIRECTOR; VICE PRESIDENT | — |
| KARGER RICHARD FOREMAN | CHAIRMAN, CHIEF EXC. OFFICER, DIRECTOR; CHAIRMAN, CHIEF EXC. OFFICER / PRESIDENT, DIRECTOR; OFFICER (+1 more) | — |
| BONGA BART RICHARD | EXECUTIVE VICE PRESIDENT; EXEC. VP,; EXEC. VP, SROP (+5 more) | — |
| GERINGER PAUL EDWARD | EXECUTIVE VP/ DIRECTOR; OFFICER | — |
| STEINER ROBERT MELVIN | EXECUTIVE VICE PRESIDENT | — |
| SOLOMON JOEL EDWARD | EXECUTIVE VICE PRESIDENT / SECRETARY/ROSFP; MEMBER, OFFICER; VICE PRESIDENT / SECRETARY (+1 more) | — |
| LENART BRIAN DOUGLAS | CCO/AMLCO | — |
| KAHN STEVEN FOREMAN | VICE PRESIDENT/ ROP; VICE PRESIDENT/ ROSFP | — |
| ADELSON PAUL J | EXECUTIVE VICE PRESIDENT | — |
| KOVITZ SANFORD | EXECUTIVE VP,; EXECUTIVE VP, DIRECTOR/ SECRETARY; EXECUTIVE VP, / SECRETARY | — |
| GRESSICK THEODORE JOHN | VICE PRESIDENT-CONTOLLER; VICE PRESIDENT-CONTROLLER; VICE PRESIDENT-CONTROLLER / AML COMPLIANCE OFFICER | — |
| FRANKE JAMES ALLYN | MEMBER, OFFICER | — |
| ELLERGODT CURTIS ROBERT | FINOP | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-09-13 | regulatory | THE SEC ALLEGED THAT ROTHSCHILD INVESTMENT CORPORATION ("ROTHSCHILD"), A DUALLY-REGISTERED INVESTMENT ADVISER AND BROKER-DEALER, VIOLATED SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 (THE "ADVISERS ACT") AND RULE 206(4)-7 THEREUNDER BY BREACHING ITS FIDUCIARY DUTY TO ADVISORY CL… | Final | $2.5M |
| 2009-07-27 | regulatory | MSRB RULE G-14 - ROTHSCHILD INVESTMENT CORPORATION FAILED TO REPORT INFORMATION REGARDING PURCHASE AND SALE TRANSACTIONS EFFECTED IN MUNICIPAL SECURITIES TO THE REAL-TIME TRANSACTION REPORTING SYSTEM (RTRS) IN THE MANNER PRESCRIBED BY RULE G-14 RTRS PROCEDURES AND THE RTRS USERS MANUAL; THE FIRM FAI… | Final | $5K |
| — | regulatory | — | — | — |