Ethan M. Schmidt

ROTHSCHILD WEALTH LLC

Oakbrook, IL 60523

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CRD#: 6694002

Professional summary

Ethan Michael Schmidt, CFP®, who also goes by Ethan M Schmidt, is a registered financial advisor currently at ROTHSCHILD WEALTH LLC located in Oakbrook, Illinois and ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.

Ethan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Ethan has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ethan M Schmidt

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 RIA Wealth Planner Since 07/2024 Investment Related Rothschild Investments LLC Broker Dealer Registered Representative Since 09/2024 Investment Related Insurance Licensed Life Since 02/2025

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan Michael Schmidt'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

Experience

Current

October 2, 2024 - Present

ROTHSCHILD WEALTH LLC

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

RIA

CRD#: 162442

Oakbrook, IL

Current

November 11, 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

April 6, 2023 - April 22, 2024

ALPHACORE CAPITAL LLC

RIA

CRD#: 174346

Glendale, CO

Past

October 10, 2019 - April 7, 2023

CATALYST WEALTH MANAGEMENT

RIA

CRD#: 283728

BEVERLY HILLS, CA

Past

August 22, 2019 - December 31, 2019

TLG ADVISORS, INC.

RIA

CRD#: 111052

Northbrook, IL

Past

August 15, 2019 - April 3, 2023

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

November 10, 2016 - July 2, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHANDLER, AZ

Past

September 19, 2016 - July 2, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHANDLER, AZ

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
(10/2/2024)

Illinois
(11/13/2024)

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: 11/9/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/2016

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

Ethan M. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan Michael Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTHSCHILD INVESTMENT LLC

ALPHACORE CAPITAL LLC

CATALYST WEALTH MANAGEMENT

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ROTHSCHILD WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/9/2016

SIE

Date: 10/1/2018

Series 7

Date: 9/19/2016

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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