Joseph S. Sindelar

ROTHSCHILD INVESTMENT LLC

Chicago, IL 60606

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CRD#: 3057614

Professional summary

Joseph Scott Sindelar is a registered financial advisor currently at ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Joseph has worked at 4 firms and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Scott Sindelar'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

June 4, 2020 - Present

ROTHSCHILD INVESTMENT LLC

Office #1: 311 South Wacker Drive Suite 5900, Chicago, IL 60606

RIA

CRD#: 728

Chicago, IL

Past

April 17, 2012 - December 13, 2019

LASALLE STREET CAPITAL MANAGEMENT, LLC

RIA

CRD#: 148365

WESTERN SPRINGS, IL

Past

July 11, 2007 - February 5, 2009

CHICAGO ASSET MANAGEMENT COMPANY LLC

RIA

CRD#: 144400

CHICAGO, IL

Past

February 20, 2001 - July 27, 2007

CHICAGO ASSET MANAGEMENT COMPANY

RIA

CRD#: 110033

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 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)

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(6/4/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/1998

Uniform Investment Adviser Law Examination

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)

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

SEC notice filing (32 States and Territories)

FINRA licenses (50 States and Territories)

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

Name	Position	CRD#
ROTHSCHILD HOLDINGS, LLC	OWNER
ELLERGODT, CURTIS ROBERT	FINOP	6012133
FRANKE, JAMES ALLYN	MEMBER, OFFICER	4728087
JOHNSON, PHILLIP EUGENE	MEMBER, PRESIDENT	2491084
LENART, BRIAN DOUGLAS	CCO/AMLCO	736107
SOLOMON, JOEL EDWARD	MEMBER, OFFICER	704990

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	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.

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Joseph S. Sindelar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Scott Sindelar's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTHSCHILD INVESTMENT LLC

LASALLE STREET CAPITAL MANAGEMENT, LLC

CHICAGO ASSET MANAGEMENT COMPANY LLC

CHICAGO ASSET MANAGEMENT COMPANY

Primary Firm SEC Registration

ROTHSCHILD INVESTMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/1998

Current Firm

ROTHSCHILD INVESTMENT LLC

Contact information

SEC notice filing (32 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROTHSCHILD INVESTMENT LLC

TRUST BUT VERIFY

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