James R. Dawson

ROTHSCHILD WEALTH LLC

Oakbrook, IL 60523

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CRD#: 6295621

Professional summary

James R Dawson, CFP®, who also goes by Rob Dawson, is a registered financial advisor currently at ROTHSCHILD WEALTH LLC located in Oakbrook, Illinois and ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. James has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rob Dawson

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.

MONEY MANAGERS INSURANCE SERVICES OAK BROOK IL LICENSED INSURANCE AGENT SINCE 6/2021 INVESTMENT RELATED ROTHSCHILD WEALTH LLC OAK BROOK IL WEALTH ADVISOR SINCE 12/2019 INVESTMENT RELATED ROTHSCHILD INVESTMENT LLC BROKER DEALER REGISTERED REPRESENTATIVE SINCE 04/2024 INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James R Dawson'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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

December 4, 2019 - Present

ROTHSCHILD WEALTH LLC

Office #1: 700 Commerce Drive Suite 170, Oakbrook, IL 60523

RIA

CRD#: 162442

Oakbrook, IL

Current

April 5, 2024 - Present

ROTHSCHILD INVESTMENT LLC

Office #1: 311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618Office #2: 700 Commerce Drive Suite 170, Oakbrook, IL 60523

RIA

CRD#: 728

Chicago, IL

Past

December 4, 2019 - August 1, 2023

HALO SECURITIES, LLC

CRD#: 279029

CHICAGO, IL

Past

April 21, 2015 - December 13, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Naperville, IL

Past

June 10, 2014 - December 13, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Naperville, 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 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.

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
(12/4/2019)

Illinois
(4/5/2024)

IAR

Texas
(1/24/2024)

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

IAR

Series 66

Date: 4/21/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/13/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/10/2014

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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

SEC notice filing (17 States and Territories)

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 Accounts	2,878
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.

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Advisor Monitoring

Firm Stability Insights

James R. Dawson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James R Dawson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTHSCHILD INVESTMENT LLC

HALO SECURITIES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

ROTHSCHILD WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/21/2015

Series 63

Date: 6/13/2014

SIE

Date: 10/1/2018

Series 7

Date: 6/10/2014

FINRA

Nasdaq Stock Market

Current Firm

ROTHSCHILD WEALTH LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROTHSCHILD WEALTH LLC

TRUST BUT VERIFY

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