SW
Steve Wang
ROTHSCHILD INVESTMENT LLC
Chicago, IL 60606-6618
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CRD#: 2092871
SW
Professional summary
Steve Wang is a registered financial professional currently at ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.
Steve is registered as a RR (Registered Representative) and started their career in finance in 1998. Steve has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Steve Wang's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 6, 2007 - Present
ROTHSCHILD INVESTMENT LLC
Office #1: 311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618RIA
BD
CRD#: 728
Chicago, IL
Past
October 23, 2002 - November 6, 2007
MAXIM GROUP LLC
BD
CRD#: 120708
CHICAGO, IL
Past
March 9, 1998 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
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)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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/6/2007)
RR
California(11/6/2007)
RR
Colorado(11/8/2007)
RR
Florida(11/6/2007)
RR
Illinois(11/6/2007)
RR
Indiana(11/6/2007)
RR
New Jersey(11/6/2007)
RR
Pennsylvania(11/6/2007)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
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)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)
FINRA licenses (50 States and Territories)
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 | ||
| 10/13/2023 |
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.
