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Jacqueline P. Sedlak

ROTHSCHILD INVESTMENT LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5468516
JS

Professional summary

Jacqueline Paredes Sedlak, who also goes by Jacqueline Starr Paredes, Jacqueline Paredes, Jacqueline P. Sedlak, Jacqueline Sedlak, is a registered financial advisor currently at ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois and ROTHSCHILD WEALTH LLC located in Oakbrook, Illinois.

Jacqueline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Jacqueline has worked at 8 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jacqueline Starr Paredes | Jacqueline Paredes | Jacqueline P. Sedlak | Jacqueline Sedlak

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 Jacqueline Paredes Sedlak's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jacqueline Paredes Sedlak'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 28, 2025 - Present

ROTHSCHILD INVESTMENT LLC

Office #1: 311 South Wacker Drive Suite 5900, Chicago, IL 60606Office #2: 311 South Wacker Drive Suite 5900, Chicago, IL 60606
RIA
BD
CRD#: 728
Chicago, IL
Current

January 30, 2025 - Present

ROTHSCHILD WEALTH LLC

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

January 28, 2025 - Present

ROTHSCHILD INVESTMENT LLC

Office #1: 311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618Office #2: 311 South Wacker Drive Suite 5900, Chicago, IL 60606
RIA
BD
CRD#: 728
Chicago, IL
Past

October 16, 2023 - January 22, 2025

HIGHTOWER ADVISORS, LLC

RIA
CRD#: 145323
CHICAGO, IL
Past

October 16, 2023 - January 22, 2025

HIGHTOWER SECURITIES, LLC

BD
CRD#: 116681
CHICAGO, IL
Past

May 9, 2022 - August 30, 2023

WILLIAM BLAIR

RIA
CRD#: 1252
CHICAGO, IL
Past

May 9, 2022 - August 30, 2023

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL
Past

June 19, 2017 - May 6, 2022

GREAT LAKES ADVISORS, LLC

RIA
CRD#: 110757
CHICAGO, IL
Past

November 29, 2012 - May 6, 2022

WINTRUST INVESTMENTS LLC

RIA
CRD#: 875
Macomb, IL
Past

November 21, 2011 - May 6, 2022

WINTRUST INVESTMENTS LLC

BD
CRD#: 875
Macomb, IL
Past

August 15, 2011 - November 23, 2011

B. C. ZIEGLER AND COMPANY

BD
CRD#: 61
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.

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
Illinois
(1/28/2025)
IAR
Illinois
(1/28/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/28/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/12/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/26/2015
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/27/2013
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/19/2012
General Securities Principal 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

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