Jerome M. Butkus

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CRD#: 37126

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jerome Martin Butkus was a registered financial advisor .

Jerome is a previously registered financial advisor and started their career in finance in 1970. Jerome had worked at 10 firms and has passed the Series 63, PC, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 3, 2000 - October 7, 2008

ROTHSCHILD INVESTMENT LLC

CRD#: 728

CHICAGO, IL

Past

October 20, 1992 - October 7, 2008

ROTHSCHILD INVESTMENT LLC

RIA

CRD#: 728

CHICAGO, IL

Past

October 15, 1992 - May 1, 1999

ROTHSCHILD INVESTMENT LLC

CRD#: 728

Past

June 14, 1991 - October 29, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 13, 1985 - June 5, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 11, 1982 - August 22, 1985

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

August 27, 1980 - October 27, 1981

BURTON J. VINCENT, CHESLEY & CO.

CRD#: 6768

Past

October 31, 1978 - September 11, 1980

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

April 18, 1978 - November 10, 1978

BLUNT ELLIS & LOEWI INCORPORATED

CRD#: 7580

Past

October 17, 1974 - May 1, 1978

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

Past

April 2, 1974 - December 31, 1974

INSIGHT SECURITIES, INC.

CRD#: 5611

Past

July 17, 1970 - May 25, 1974

E. F. HUTTON & COMPANY INC

CRD#: 235

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 7/19/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 10/1/1981

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 9/11/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 00

Date: 5/22/1974

General Securities Principal 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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Firm Stability Insights

Jerome M. Butkus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROTHSCHILD INVESTMENT LLC

ROTHSCHILD INVESTMENT LLC

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

BURTON J. VINCENT, CHESLEY & CO.

CIBC WORLD MARKETS CORP.

BLUNT ELLIS & LOEWI INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

INSIGHT SECURITIES, INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

ROTHSCHILD INVESTMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/19/1979

PC

Date: 10/1/1981

Series 1

Date: 9/11/1968

Series 00

Date: 5/22/1974

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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