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CL

Connor Ladone

ROTHSCHILD WEALTH LLC
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 6981142
CL

Professional summary

Connor Ladone, who also goes by Connor Oneil Ladone, is a registered financial advisor currently at ROTHSCHILD WEALTH LLC located in Chicago, Illinois and ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.

Connor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Connor has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Connor Oneil Ladone

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 DESIGN ANALYST/PORTFOLIO SPECIALIST SINCE 02/2025 INVESTMENT RELATED ROTHSCHILD INVESTMENT, LLC BROKER DEALER DESIGN ANALYST SINCE 02/2025

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Connor Ladone'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

March 5, 2025 - Present

ROTHSCHILD WEALTH LLC

Office #1: 311 S Wacker Drive Suite 5900, Chicago, IL 60606
RIA
CRD#: 162442
CHICAGO, IL
Current

February 12, 2025 - Present

ROTHSCHILD INVESTMENT LLC

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

March 14, 2022 - February 12, 2025

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CHICAGO, IL
Past

January 28, 2022 - February 12, 2025

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
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".
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

RR
Arizona
(2/12/2025)
RR
California
(2/12/2025)
RR
Florida
(2/12/2025)
RR
Illinois
(2/12/2025)
IAR
Illinois
(3/5/2025)
RR
Indiana
(2/12/2025)
RR
Massachusetts
(2/12/2025)
RR
Nevada
(2/12/2025)
RR
North Carolina
(2/12/2025)
RR
South Dakota
(2/12/2025)
RR
Texas
(2/12/2025)
RR
Washington
(2/12/2025)
RR
Wisconsin
(2/12/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/14/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/28/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/29/2021
Securities Industry Essentials 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#: 162442Chicago, IL 60606

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