James E. Otzko
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Edward Otzko was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1976. James had worked at 9 firms and has passed the Series 63, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2002 - October 7, 2008
ROTHSCHILD INVESTMENT LLC
May 4, 1999 - October 7, 2008
ROTHSCHILD INVESTMENT LLC
October 15, 1992 - July 1, 1998
ROTHSCHILD INVESTMENT LLC
June 18, 1991 - October 27, 1992
UBS FINANCIAL SERVICES INC.
March 6, 1985 - June 5, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 1981 - January 31, 1985
PRUDENTIAL EQUITY GROUP, LLC
August 14, 1980 - October 28, 1981
BURTON J. VINCENT, CHESLEY & CO.
November 3, 1978 - September 1, 1980
CIBC WORLD MARKETS CORP.
April 4, 1978 - April 27, 1978
BLUNT ELLIS & LOEWI INCORPORATED
November 14, 1977 - April 4, 1978
BLUNT ELLIS & SIMMONS INCORPORATED
April 20, 1976 - November 24, 1977
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Primary Firm SEC Registration
ROTHSCHILD INVESTMENT LLC
CRD#: 728 / SEC#: 801-7395, 8-16429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 5/2/1977
AMEX Put and Call ExamCurrent Firm
ROTHSCHILD INVESTMENT LLC
CRD#: 728 / SEC#: 801-7395, 8-16429
Contact information
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.
