Richard C. Petersen

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CRD#: 1230074

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Charles Petersen was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 7 firms and has passed the Series 66, SIE and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 7, 2004 - January 27, 2015

ROTHSCHILD INVESTMENT LLC

CRD#: 728

CHICAGO, IL

Past

May 1, 2002 - August 8, 2003

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

March 4, 2002 - August 8, 2003

HARRISDIRECT LLC

RIA

CRD#: 42159

ROSELLE, IL

Past

August 31, 2001 - May 1, 2002

HARRIS INVESTORLINE INC.

CRD#: 6362

SEATTLE, WA

Past

May 12, 1997 - November 22, 1999

OBERWEIS SECURITIES, INC.

CRD#: 42060

LISLE, IL

Past

September 1, 1994 - February 11, 1997

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

October 18, 1989 - September 1, 1994

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

February 23, 1984 - October 31, 1989

BERGHOFF & COMPANY, INC.

CRD#: 6441

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROTHSCHILD INVESTMENT LLC

ROTHSCHILD INVESTMENT | ROTHSCHILD INVESTMENT LLC | ROTHSCHILD INVESTMENT CORPORATION

CRD#: 728 / SEC#: 801-7395, 8-16429

RIA

Registered Investment Advisory firm - SEC (5/30/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/15/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/27/2015

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 53

Date: 7/3/1995

Municipal Securities Principal Examination

Current Firm

ROTHSCHILD INVESTMENT LLC

ROTHSCHILD INVESTMENT | ROTHSCHILD INVESTMENT LLC | ROTHSCHILD INVESTMENT CORPORATION

CRD#: 728 / SEC#: 801-7395, 8-16429

RIA

Registered Investment Advisory firm - SEC (5/30/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6677

Mailing Address

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

Phone number

(312) 983-8900

Established

Delaware since 10/07/2022

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (32 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (11/19/2025)

Direct owners and executive officers

Name	Position	CRD#
ROTHSCHILD HOLDINGS, LLC	OWNER
ELLERGODT, CURTIS ROBERT	FINOP	6012133
FRANKE, JAMES ALLYN	MEMBER, OFFICER	4728087
JOHNSON, PHILLIP EUGENE	MEMBER, PRESIDENT	2491084
LENART, BRIAN DOUGLAS	CCO/AMLCO	736107
SOLOMON, JOEL EDWARD	MEMBER, OFFICER	704990

Regulatory assets under management

Total Number of Accounts	2,425
AUM (Assets Under Management)	$ 2,310,915,581

Disclosures

Regulatory Event	15
Arbitration	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
10/13/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Richard C. Petersen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HARRISDIRECT LLC

HARRISDIRECT LLC

HARRIS INVESTORLINE INC.

OBERWEIS SECURITIES, INC.

PRINCIPAL FINANCIAL SECURITIES,INC.

HAMILTON INVESTMENTS, INC.

BERGHOFF & COMPANY, INC.

Primary Firm SEC Registration

ROTHSCHILD INVESTMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/15/2002

SIE

Date: 1/27/2015

Series 53

Date: 7/3/1995

Current Firm

ROTHSCHILD INVESTMENT LLC

Contact information

SEC notice filing (32 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROTHSCHILD INVESTMENT LLC

TRUST BUT VERIFY

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