Unclaimed Profile

Dale Richard Bonga

ROTHSCHILD INVESTMENT CORPORATION·CHICAGO, Illinois

SIE, Series 1, Series 4, Series 12, Series 40, Series 6338 years registeredROTHSCHILD INVESTMENT CORPORATION

311 SOUTH WACKER DRIVE, CHICAGO, IL 60606CRD# 25608Firm CRD# 728

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Dale Richard Bonga · CHICAGO, IL

Registration

CRD #25608 · ROTHSCHILD INVESTMENT CORPORATION · 38 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ROTHSCHILD INVESTMENT CORPORATION

ROTHSCHILD INVESTMENT CORPORATION

Mar 1988 – Jan 2015

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 4

Series 12

Series 40

Series 63

Registration record

First registered · March 29, 1988

Years registered · 38

Disclosure History

2008Regulatory·Final

1988Regulatory·Final

1986Customer Dispute·Award / Judgment

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ROTHSCHILD INVESTMENT LLC

CRD 728 · SEC 801-7395

AUM

$2.0B

Regulatory assets under management

Employees

2,211 client accounts

Services offered by ROTHSCHILD INVESTMENT LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

View all advisors at ROTHSCHILD INVESTMENT LLC →

Introduction

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Frequently Asked Questions

What services does Dale Richard Bonga offer?

Dale Richard Bonga specializes in Investment Management, Wealth Management.

What are Dale Richard Bonga's credentials?

Dale Richard Bonga is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Dale Richard Bonga located?

Dale Richard Bonga is based in CHICAGO, Illinois, last registered with ROTHSCHILD INVESTMENT CORPORATION.

How does Dale Richard Bonga charge for services?

Dale Richard Bonga's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ROTHSCHILD INVESTMENT CORPORATION?

ROTHSCHILD INVESTMENT CORPORATION has approximately 40 employees and manages $2.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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