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LM

Lori A. Mendoza

ROTHSCHILD INVESTMENT LLC
Chicago, IL 60606-6618
Some features on this profile are disabled
CRD#: 3239250
LM

Professional summary

Lori Ann Mendoza, who also goes by Lori A Bozich, Lori Ann Bozich, is a registered financial professional currently at ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.

Lori is registered as a RR (Registered Representative) and started their career in finance in 2000. Lori has worked at 1 firm and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lori A Bozich | Lori Ann Bozich

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) - BD

Click below to view Lori Ann Mendoza'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

May 22, 2000 - Present

ROTHSCHILD INVESTMENT LLC

Office #1: 311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618Office #2: Rothschild Investment Corporation Suite 6500, Chicago, IL 60606
RIA
BD
CRD#: 728
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 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

ROTHSCHILD INVESTMENT LLC
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
ROTHSCHILD HOLDINGS, LLCOWNER
ELLERGODT, CURTIS ROBERTFINOP6012133
FRANKE, JAMES ALLYNMEMBER, OFFICER4728087
JOHNSON, PHILLIP EUGENEMEMBER, PRESIDENT2491084
LENART, BRIAN DOUGLASCCO/AMLCO736107
SOLOMON, JOEL EDWARDMEMBER, OFFICER704990

Regulatory assets under management

Total Number of Accounts2,425
AUM (Assets Under Management)$ 2,310,915,581

Disclosures

Regulatory Event15
Arbitration2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

ROTHSCHILD INVESTMENT LLC

ROTHSCHILD INVESTMENT LLC

CRD#: 728Chicago, IL 60606-6618

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