Unclaimed Profile

James Allyn Franke

ROTHSCHILD INVESTMENT LLC·CHICAGO, Illinois

SIE, Series 7, Series 24, Series 63, Series 65Clean record21 years registeredROTHSCHILD INVESTMENT LLC

311 SOUTH WACKER DRIVE, CHICAGO, IL 60606CRD# 4728087Firm CRD# 728

Profile Verification

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

Identity

James Allyn Franke · CHICAGO, IL

Registration

CRD #4728087 · ROTHSCHILD INVESTMENT LLC · 21 years registered

Brand Profile

Not yet started

Career History

ROTHSCHILD INVESTMENT

Dec 2011 – present

ROBERT W. BAIRD & CO. INCORPORATED

Aug 2009 – Dec 2011

CHICAGO, IL

MORGAN STANLEY SMITH BARNEY LLC

Jun 2009 – Sep 2009

CHICAGO, IL

CITIGROUP GLOBAL MARKETS INC.

Mar 2005 – Jun 2009

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · March 29, 2005

Years registered · 21

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

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

Speak with James Allyn

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if James Allyn is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in CHICAGO?

Browse all registered financial advisors in CHICAGO, Illinois or claim this profile if it's yours.

Browse CHICAGO Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does James Allyn Franke offer?

James Allyn Franke specializes in Investment Management, Wealth Management. Contact their office in CHICAGO, Illinois for a consultation.

What are James Allyn Franke's credentials?

James Allyn Franke is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Allyn Franke located?

James Allyn Franke is based in CHICAGO, Illinois, working with ROTHSCHILD INVESTMENT LLC. Their office serves clients in the CHICAGO metropolitan area and surrounding communities.

How does James Allyn Franke charge for services?

James Allyn Franke'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 LLC?

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

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →