AR
Arthur S. Rothschild
LANDAAS & COMPANY
Racine, WI
Some features on this profile are disabled
CRD#: 2153175
AR
Professional summary
Arthur Stanley Rothschild, CFP®, who also goes by Art Rothschild, is a registered financial advisor currently at LANDAAS & COMPANY located in Racine, Wisconsin.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Arthur has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Investment Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Art Rothschild
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.
Mr. Rothschild is a licensed insurance agent in the state of Wisconsin. Mr. Rothschild services insurance and annuity contacts for clients of Landaas & Company, LLC as part of normal duties with Landaas & Company and does not service clients that are not clients of Landaas & Company. Mr. Rothschild does not conduct insurance activities outside of Landaas & Company's normal business hours
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Stanley Rothschild's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arthur Stanley Rothschild'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®
CFP®
Start date: 1996
Experience
Current
March 23, 2000 - Present
LANDAAS & COMPANY
Office #2: 411 E Wisconsin Ave 20th Floor, Milwaukee, WI 53202RIA
BD
CRD#: 47487
Racine, WI
Current
November 29, 1999 - Present
LANDAAS & COMPANY
Office #1: 411 E. Wisconsin Ave, Milwaukee, WI 53202RIA
BD
CRD#: 47487
Milwaukee, WI
Past
July 15, 1992 - November 29, 2000
CABRERA CAPITAL MARKETS, LLC
BD
CRD#: 10081
CHICAGO, IL
Past
September 18, 1991 - July 15, 1992
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
August 2, 1991 - July 15, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
L&
LANDAAS & COMPANY
LANDAAS | LANDAAS & COMPANY, LLC | LANDAAS & COMPANY
CRD#: 47487 / SEC#: 801-45055, 8-51826
RIA
Registered Investment Advisory firm - SEC (10/25/1993 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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(9/11/2020)
RR
Arizona(4/12/2001)
RR
Arkansas(12/7/1999)
RR
California(1/5/2000)
RR
Colorado(1/17/2002)
RR
Delaware(3/2/2021)
RR
Florida(2/8/2000)
IAR
Florida(4/18/2017)
RR
Georgia(1/12/2005)
RR
Hawaii(8/9/2018)
RR
Illinois(12/8/1999)
RR
Indiana(3/27/2019)
RR
Iowa(2/14/2025)
RR
Kansas(7/24/2025)
RR
Kentucky(3/22/2000)
RR
Louisiana(9/24/2025)
RR
Maryland(9/18/2018)
RR
Michigan(11/28/2001)
RR
Minnesota(11/28/2001)
RR
Missouri(5/18/2000)
RR
Nevada(12/8/1999)
RR
New Jersey(4/10/2023)
RR
New York(1/12/2005)
RR
North Carolina(6/12/2012)
RR
Oklahoma(10/20/2020)
RR
Pennsylvania(10/11/2018)
RR
South Carolina(1/12/2005)
RR
Tennessee(1/7/2008)
RR
Texas(1/10/2008)
IAR
Texas(2/2/2022)
RR
Virginia(1/10/2012)
IAR
Virginia(4/18/2017)
RR
Washington(7/8/2015)
RR
Wisconsin(12/3/1999)
IAR
Wisconsin(3/23/2000)
RR
Wyoming(9/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
L&
LANDAAS & COMPANY
LANDAAS | LANDAAS & COMPANY, LLC | LANDAAS & COMPANY
CRD#: 47487 / SEC#: 801-45055, 8-51826
RIA
Registered Investment Advisory firm - SEC (10/25/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
411 E. Wisconsin Ave 20th Floor, Milwaukee, WI 53202
Mailing Address
411 E. Wisconsin Ave, Milwaukee, WI 53202
Phone number
(414) 223-1099
Established
Wisconsin since 07/20/1989
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
25
SEC notice filing (23 States and Territories)
FINRA licenses (47 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 4,030 |
| AUM (Assets Under Management) | $ 1,724,224,069 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 11/22/2024 | ||
| 10/25/2023 |
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.
