Stephen O. Rothschild

VALMARK ADVISERS

Phoenix, AZ

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CRD#: 405767

Professional summary

Stephen Otto Rothschild, who also goes by Steve Rothschild, is a registered financial advisor currently at VALMARK ADVISERS, INC. located in Phoenix, Arizona and VALMARK SECURITIES, INC. located in Phoenix, Arizona.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Stephen has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Rothschild

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.

1) THE FRED SALE AGENCY, INC.OWNER; INSURANCE SALES; NOT INVESTMENT RELATED./// 2) Stephen O. Rothschild DBA M21 Consulting; Phoenix, AZ; owner; Consulting on Fixed Products; Not-investment related; compensation= fees;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Otto Rothschild'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 5, 2007 - Present

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

Phoenix, AZ

Current

September 30, 2002 - Present

VALMARK SECURITIES, INC.

CRD#: 31243

Phoenix, AZ

Past

February 8, 2010 - December 3, 2014

M21 CONSULTING

RIA

CRD#: 152586

PARADISE VALLEY, AZ

Past

May 15, 1998 - December 31, 2005

ROTHSCHILD SALE & ASSOCIATES INC

RIA

CRD#: 104968

ST. LOUIS, MO

Past

April 21, 1987 - September 30, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

July 25, 1984 - April 21, 1987

AMERICAN CAPITAL EQUITIES, INC.

CRD#: 13272

Past

April 2, 1973 - June 3, 1987

GENERAL AMERICAN LIFE INSURANCE COMPANY

CRD#: 3963

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".

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(9/30/2002)

IAR

Arizona
(2/26/2021)

California
(9/30/2002)

Colorado
(10/30/2002)

Florida
(9/30/2002)

IAR

Florida
(1/8/2007)

Illinois
(9/30/2002)

IAR

Indiana
(11/22/2023)

Kansas
(11/16/2023)

Maine
(2/13/2024)

Maryland
(11/16/2023)

Mississippi
(12/10/2020)

Missouri
(9/30/2002)

IAR

Missouri
(1/5/2007)

Nevada
(1/15/2025)

New York
(9/30/2002)

Ohio
(11/16/2023)

Texas
(9/30/2002)

Wisconsin
(9/30/2002)

IAR

Wisconsin
(8/29/2008)

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

Series 63

Date: 8/15/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 3/24/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/17/1985

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

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Contact information

Main Address

130 Springside Drive Suite 300, Akron, OH 44333

Mailing Address

Phone number

(800) 765-5201

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VALMARK ADVISERS WEALTH MANAGEMENT SOLUTIONS ADV PART 2A APPENDIX 1-WRAP FEE PROGRAM BROCHURE (6/16/2025)

VALMARK ADVISERS, INC SEC FORM 2A FIRM BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	19,096
AUM (Assets Under Management)	$ 8,379,181,235

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

Stephen O. Rothschild

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Otto Rothschild's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALMARK SECURITIES, INC.

M21 CONSULTING

ROTHSCHILD SALE & ASSOCIATES INC

WALNUT STREET SECURITIES, INC.

AMERICAN CAPITAL EQUITIES, INC.

GENERAL AMERICAN LIFE INSURANCE COMPANY

Primary Firm SEC Registration

VALMARK ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/15/1984

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 3/24/1973

Series 24

Date: 12/17/1985

FINRA

Current Firm

VALMARK ADVISERS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALMARK ADVISERS, INC.

TRUST BUT VERIFY

Contact information

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