Phillip E. Johnson

ROTHSCHILD WEALTH LLC

Oakbrook, IL 60523

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CRD#: 2491084

Professional summary

Phillip Eugene Johnson is a registered financial advisor currently at ROTHSCHILD WEALTH LLC located in Oakbrook, Illinois and ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.

Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Phillip has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

ROTHSCHILD WEALTH LLC OAK BROOK IL PRESIDENT SINCE 09/2018 INVESTMENT RELATED ROTHSCHILD INVESTMENT LLC BROKER DEALER MANAGING DIRECTOR SINCE 09/2023 INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Eugene Johnson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 1, 2019 - Present

ROTHSCHILD WEALTH LLC

Office #1: 700 Commerce Drive Suite 170, Oakbrook, IL 60523

RIA

CRD#: 162442

Oakbrook, IL

Current

September 29, 2023 - Present

ROTHSCHILD INVESTMENT LLC

Office #1: 311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618Office #2: 700 Commerce Drive Suite 170, Oakbrook, IL 60523

RIA

CRD#: 728

Chicago, IL

Past

February 16, 2017 - August 1, 2023

HALO SECURITIES, LLC

CRD#: 279029

OAK BROOK, IL

Past

October 20, 2011 - January 28, 2016

INCAPITAL DISTRIBUTORS LLC

CRD#: 156622

CHICAGO, IL

Past

July 26, 2000 - January 28, 2016

INSPEREX LLC

CRD#: 101420

CHICAGO, IL

Past

February 2, 1997 - July 6, 2000

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

March 17, 1995 - January 27, 1997

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

May 10, 1994 - March 24, 1995

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

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 WEALTH LLC

REYNOLDS WEALTH, LLC | SENTINUS, LLC | ROTHSCHILD WEALTH LLC

CRD#: 162442 / SEC#: 801-74818

RIA

Registered Investment Advisory firm - (4/16/2012 Approved)

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.

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

IAR

Illinois
(1/1/2019)

Illinois
(9/29/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/31/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/21/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/11/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 9/1/2011

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 5/26/1995

Financial and Operations Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

ROTHSCHILD WEALTH LLC

REYNOLDS WEALTH, LLC | SENTINUS, LLC | ROTHSCHILD WEALTH LLC

CRD#: 162442 / SEC#: 801-74818

RIA

Registered Investment Advisory firm - (4/16/2012 Approved)

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Contact information

Main Address

700 Commerce Drive Suite 170, Oakbrook, IL 60523

Mailing Address

Phone number

(630) 448-5711

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROTHSCHILD WEALTH ADV PART 2A (4/29/2025)

Regulatory assets under management

Total Number of Accounts	2,878
AUM (Assets Under Management)	$ 751,143,585

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Phillip E. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Eugene Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTHSCHILD INVESTMENT LLC

HALO SECURITIES, LLC

INCAPITAL DISTRIBUTORS LLC

INSPEREX LLC

LASALLE FINANCIAL SERVICES, INC.

ABN AMRO INCORPORATED

LASALLE FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ROTHSCHILD WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/31/2018

Series 63

Date: 6/21/1994

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/11/1994

Series 14

Date: 1/2/2023

Series 24

Date: 9/1/2011

Series 27

Date: 5/26/1995

FINRA

Nasdaq Stock Market

Current Firm

ROTHSCHILD WEALTH LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROTHSCHILD WEALTH LLC

TRUST BUT VERIFY

Contact information

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