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CE

Curtis R. Ellergodt

ROTHSCHILD WEALTH LLC
Oakbrook, IL 60523
Some features on this profile are disabled
CRD#: 6012133
CE

Professional summary

Curtis Robert Ellergodt is a registered financial advisor currently at ROTHSCHILD WEALTH LLC located in Oakbrook, Illinois and ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.

Curtis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Curtis has worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 79, Series 7, Series 27, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
Rothschild Wealth LLC Investment Adviser COO/CFO 4/13/15 Investment Related Rothschild Investment, LLC Broker Dealer CFO/CCO Since 09/2023 Investment Related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Curtis Robert Ellergodt'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

October 30, 2015 - Present

ROTHSCHILD WEALTH LLC

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

September 29, 2023 - Present

ROTHSCHILD INVESTMENT LLC

Office #1: 311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618Office #2: Rothschild Investment Corporation Suite 6500, Chicago, IL 60606Office #3: 700 Commerce Drive Suite 170, Oakbrook, IL 60523
RIA
BD
CRD#: 728
Chicago, IL
Past

February 16, 2017 - August 1, 2023

HALO SECURITIES, LLC

BD
CRD#: 279029
OAK BROOK, IL
Past

October 30, 2015 - December 31, 2017

ROTHSCHILD WEALTH LLC

RIA
CRD#: 162442
OAKBROOK, IL
Past

July 31, 2015 - February 16, 2017

AUSDAL FINANCIAL PARTNERS, INC.

BD
CRD#: 7995
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

IAR
Illinois
(10/30/2015)
RR
Illinois
(9/29/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/8/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/30/2015
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/2/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/5/2017
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/18/2016
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/23/2016
General Securities Principal 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 ADV PART 2A (4/29/2025)

Regulatory assets under management

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

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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