SB
Stephen C. Baby
ROTHSCHILD INVESTMENT LLC
Chicago, IL 60606
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CRD#: 5879922
SB
Professional summary
Stephen Charles Baby, who also goes by Stephen Charles Baby, Stephen Baby, is a registered financial advisor currently at ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Stephen has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Charles Baby | Stephen Baby
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.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Charles Baby's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Charles Baby's 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®
NoneExperience
Current
May 6, 2022 - Present
ROTHSCHILD INVESTMENT LLC
Office #1: 311 South Wacker Drive Suite 5900, Chicago, IL 60606Office #2: 311 South Wacker Drive Suite 5900, Chicago, IL 60606RIA
BD
CRD#: 728
Chicago, IL
Current
May 6, 2022 - 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 60606RIA
BD
CRD#: 728
Chicago, IL
Past
June 13, 2018 - April 30, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Winnetka, IL
Past
April 8, 2011 - February 9, 2012
RONIN CAPITAL, LLC
BD
CRD#: 118428
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 | 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
Florida(1/3/2023)
RR
Illinois(5/6/2022)
IAR
Illinois(5/6/2022)
RR
Michigan(9/12/2022)
RR
South Dakota(7/18/2022)
RR
Wisconsin(8/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
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)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)
FINRA licenses (50 States and Territories)
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 | ||
| 10/13/2023 |
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.
