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SJ

Suzanne M. Jessup

Some features on this profile are disabled
CRD#: 1701646
SJ

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.

Suzanne Marie Jessup was a registered financial professional .

Suzanne is a previously registered financial professional and started their career in finance in 1993. Suzanne had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

June 30, 2004 - October 3, 2024

ROTHSCHILD INVESTMENT LLC

BD
CRD#: 728
CHICAGO, IL
Past

May 27, 2000 - June 18, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 23, 1999 - May 27, 2000

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

November 9, 1999 - November 30, 1999

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

July 1, 1998 - December 16, 1999

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

September 30, 1997 - July 1, 1998

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

January 2, 1997 - October 7, 1997

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

June 13, 1994 - January 2, 1997

THE CHICAGO CORPORATION

BD
CRD#: 1449
CHICAGO, IL
Past

August 17, 1993 - June 20, 1994

DREHER & ASSOCIATES, INC.

BD
CRD#: 8665
OAKBROOK TERRACE, 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 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)
BD
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.

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1993
General Securities Representative Examination

Current Firm

ROTHSCHILD INVESTMENT LLC
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)
BD
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
41

SEC notice filing (32 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
ROTHSCHILD HOLDINGS, LLCOWNER
ELLERGODT, CURTIS ROBERTFINOP6012133
FRANKE, JAMES ALLYNMEMBER, OFFICER4728087
JOHNSON, PHILLIP EUGENEMEMBER, PRESIDENT2491084
LENART, BRIAN DOUGLASCCO/AMLCO736107
SOLOMON, JOEL EDWARDMEMBER, OFFICER704990

Regulatory assets under management

Total Number of Accounts2,425
AUM (Assets Under Management)$ 2,310,915,581

Disclosures

Regulatory Event15
Arbitration2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

ROTHSCHILD INVESTMENT LLC

ROTHSCHILD INVESTMENT LLC

CRD#: 728

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