Jon H. Rothenberg

CETERA INVESTMENT ADVISERS LLC

SCHAUMBURG, IL 60173-2096

Some features on this profile are disabled

CRD#: 2737327

Professional summary

Jon Howard Rothenberg, who also goes by Jon H Rothenberh, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Schaumburg, Illinois.

Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jon has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jon H Rothenberh

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) - RIA

Click below to view Jon Howard Rothenberg'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 28, 2008 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

RIA

CRD#: 105644

SCHAUMBURG, IL

Current

January 1, 2004 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173

CRD#: 10358

Schaumburg, IL

Current

February 1, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173

CRD#: 15340

Schaumburg, IL

Current

February 1, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173Office #2: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173

CRD#: 13572

SCHAUMBURG, IL

Current

February 1, 2022 - Present

CETERA ADVISORS LLC

Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173

CRD#: 10299

Schaumburg, IL

Past

June 18, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

SCHAUMBURG, IL

Past

February 1, 2022 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SCHAUMBURG, IL

Past

September 9, 2002 - January 1, 2004

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

January 25, 1999 - December 31, 2002

GE INVESTMENT DISTRIBUTORS, INC

CRD#: 32087

STAMFORD, CT

Past

January 16, 1998 - December 17, 1998

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

June 11, 1996 - December 23, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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

Illinois
(1/7/2008)

IAR

Illinois
(1/28/2008)

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: 9/16/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/10/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/27/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Flavia Cardozo

J.P. MORGAN SECURITIES LLC

IAR

Naperville, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jon H. Rothenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Howard Rothenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA ADVISORS LLC

AVANTAX INVESTMENT SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

CAPITAL BROKERAGE CORPORATION

GE INVESTMENT DISTRIBUTORS, INC

CITICORP INVESTMENT SERVICES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/16/1996

Series 63

Date: 7/1/1996

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/10/1996

Series 24

Date: 1/27/1998

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

Similar Advisors