CK
Charlie J. Kuhn
ROTHSCHILD INVESTMENT
CHICAGO, IL 60606-6677
Some features on this profile are disabled
CRD#: 7948669
CK
Charlie Joseph KuhnROTHSCHILD INVESTMENT
Professional summary
Charlie Joseph Kuhn, who also goes by Charles Joseph Kuhn Jr, Charles Kuhn, is a registered financial advisor currently at ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.
Charlie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Charlie has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Charles Joseph Kuhn Jr | Charles Kuhn
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 Charlie Joseph Kuhn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charlie Joseph Kuhn'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
December 4, 2025 - Present
ROTHSCHILD INVESTMENT LLC
Office #1: 311 South Wacker Drive Suite 5900, Chicago, IL 60606-6677Office #2: 311 South Wacker Drive Suite 5900, Chicago, IL 60606-6677RIA
BD
CRD#: 728
CHICAGO, IL
Current
December 4, 2025 - 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 60606-6677RIA
BD
CRD#: 728
CHICAGO, IL
Past
September 3, 2024 - December 9, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Denver, CO
Past
August 20, 2024 - December 9, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Denver, CO
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
Arizona(1/5/2026)
RR
California(1/5/2026)
RR
Colorado(1/5/2026)
RR
Connecticut(1/5/2026)
RR
Florida(1/5/2026)
RR
Georgia(1/5/2026)
RR
Hawaii(1/5/2026)
RR
Idaho(1/5/2026)
RR
Illinois(12/4/2025)
IAR
Illinois(12/4/2025)
RR
Iowa(1/5/2026)
RR
Louisiana(1/5/2026)
RR
Maine(1/5/2026)
RR
Maryland(1/5/2026)
RR
Michigan(1/5/2026)
RR
Missouri(1/5/2026)
RR
New York(1/5/2026)
RR
North Carolina(1/5/2026)
RR
Oregon(1/5/2026)
RR
Texas(1/5/2026)
RR
Washington(1/5/2026)
RR
Wisconsin(1/5/2026)
RR
Wyoming(1/5/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/20/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
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)
Loading...
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 |
|---|---|---|
| 01/29/2026 | ||
| 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.
