DH
Daniel P. Hord
ROTHSCHILD INVESTMENT LLC
Chicago, IL 60606
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CRD#: 810330
DH
Professional summary
Daniel Peyton Hord is a registered financial advisor currently at ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Daniel has worked at 7 firms and has passed the Series 63, SIE, PC, Series 7 and Series 24 exams.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Peyton Hord's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Peyton Hord'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
February 28, 1991 - Present
ROTHSCHILD INVESTMENT LLC
Office #1: 311 South Wacker Drive Suite 5900, Chicago, IL 60606Office #2: Rothschild Investment Corporation Suite 6500, Chicago, IL 60606RIA
BD
CRD#: 728
Chicago, IL
Current
February 27, 1991 - Present
ROTHSCHILD INVESTMENT LLC
Office #1: 311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618Office #2: Rothschild Investment Corporation Suite 6500, Chicago, IL 60606RIA
BD
CRD#: 728
Chicago, IL
Past
January 29, 1985 - February 22, 1991
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 11, 1984 - January 18, 1985
MANAS RESEARCH, INC.
BD
CRD#: 13725
Past
October 13, 1981 - December 10, 1988
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
May 24, 1978 - August 24, 1981
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
May 18, 1976 - June 15, 1978
BLYTH EASTMAN DILLON & CO. INCORPORATED
BD
CRD#: 6361
Past
July 25, 1975 - June 24, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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
Alabama(4/17/2013)
RR
Arizona(2/25/2004)
RR
Arkansas(2/28/2005)
RR
California(4/11/2022)
RR
Colorado(1/2/2018)
RR
Connecticut(9/19/2014)
RR
Florida(2/28/1991)
IAR
Florida(2/28/1991)
RR
Hawaii(1/3/2022)
RR
Illinois(2/27/1991)
IAR
Illinois(6/27/2006)
RR
Indiana(6/27/2006)
RR
Kansas(1/2/2020)
RR
Michigan(4/30/1992)
IAR
Michigan(6/16/2010)
RR
Minnesota(5/4/1992)
RR
Missouri(1/20/2010)
RR
Montana(1/3/2022)
RR
Nebraska(11/7/2008)
RR
Nevada(1/9/2014)
RR
New York(1/5/2015)
RR
Ohio(3/21/2011)
RR
Oregon(5/24/2012)
RR
Pennsylvania(1/20/2010)
RR
Rhode Island(1/9/2014)
RR
South Carolina(1/3/2023)
RR
Texas(1/31/1995)
IAR
Texas(1/26/2024)
RR
Utah(10/7/2013)
RR
Vermont(1/9/2014)
RR
Virginia(1/4/2016)
RR
Washington(1/3/2022)
RR
Wisconsin(5/30/1995)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/31/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
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)
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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 |
|---|---|---|
| 01/27/2025 | ||
| 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.
