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BP

Bret J. Petersen

ROTHSCHILD WEALTH LLC
Oakbrook, IL 60523
Some features on this profile are disabled
CRD#: 4635196
BP

Professional summary

Bret J Petersen, who also goes by Bret James Petersen, Bret Petersen, is a registered financial advisor currently at ROTHSCHILD WEALTH LLC located in Oakbrook, Illinois and ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.

Bret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Bret has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bret James Petersen | Bret Petersen

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 Bret J Petersen'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 6, 2026 - Present

ROTHSCHILD WEALTH LLC

Office #1: 700 Commerce Drive Suite 170, Oakbrook, IL 60523
RIA
CRD#: 162442
Oakbrook, IL
Current

January 6, 2026 - Present

ROTHSCHILD INVESTMENT LLC

Office #1: 311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618
RIA
BD
CRD#: 728
Chicago, IL
Past

October 24, 2019 - January 30, 2026

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NAPERVILLE, IL
Past

October 24, 2019 - January 30, 2026

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NAPERVILLE, IL
Past

April 15, 2011 - November 4, 2019

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NAPERVILLE, IL
Past

April 15, 2011 - November 4, 2019

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NAPERVILLE, IL
Past

June 1, 2009 - April 21, 2011

MORGAN STANLEY

RIA
CRD#: 149777
NAPERVILLE, IL
Past

June 1, 2009 - April 21, 2011

MORGAN STANLEY

BD
CRD#: 149777
NAPERVILLE, IL
Past

October 20, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NAPERVILLE, IL
Past

October 20, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NAPERVILLE, IL
Past

September 18, 2003 - October 30, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
OAK BROOK, IL
Past

March 21, 2003 - October 30, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
OAK BROOK, 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".
RW
ROTHSCHILD WEALTH LLC
REYNOLDS WEALTH, LLC | SENTINUS, LLC | ROTHSCHILD WEALTH LLC

CRD#: 162442 / SEC#: 801-74818

RIA
Registered Investment Advisory firm - (4/16/2012 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.
RR
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

RR
Arizona
(1/6/2026)
RR
California
(1/6/2026)
RR
Colorado
(1/6/2026)
RR
Florida
(1/6/2026)
RR
Illinois
(1/6/2026)
IAR
Illinois
(1/6/2026)
RR
Indiana
(1/6/2026)
RR
Kansas
(1/6/2026)
RR
Michigan
(1/6/2026)
RR
Minnesota
(1/6/2026)
RR
Missouri
(1/6/2026)
RR
Montana
(1/6/2026)
RR
North Carolina
(1/6/2026)
RR
North Dakota
(1/6/2026)
RR
Ohio
(1/6/2026)
RR
Oregon
(1/6/2026)
RR
Tennessee
(1/6/2026)
RR
Texas
(1/6/2026)
RR
Washington
(1/6/2026)
RR
Wisconsin
(1/6/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/4/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/14/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

RW
ROTHSCHILD WEALTH LLC
REYNOLDS WEALTH, LLC | SENTINUS, LLC | ROTHSCHILD WEALTH LLC

CRD#: 162442 / SEC#: 801-74818

RIA
Registered Investment Advisory firm - (4/16/2012 Approved)
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Contact information

Main Address
700 Commerce Drive Suite 170, Oakbrook, IL 60523
Mailing Address
Phone number
(630) 448-5711
Established
Firm type
Fiscal year end
# of Employees
22

SEC notice filing (17 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ROTHSCHILD WEALTH ADV2A (1/7/2026)

Regulatory assets under management

Total Number of Accounts2,878
AUM (Assets Under Management)$ 751,143,585

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/29/2026
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 WEALTH LLC

CRD#: 162442Oakbrook, IL 60523

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