Rothschild Investment Statement of Financial Condition
As a registered broker-dealer, Rothschild Investment, LLC maintains financial and operational reports in accordance with U.S. Securities and Exchange Commission (SEC) regulations.
Rothschild Investment, LLC’s most recent audited Statement of Financial Condition is available to clients and prospective clients free of charge. To request a copy, please contact our Compliance Department at:
FOCUS Report (Form X-17A-5)
The firm also files the Financial and Operational Combined Uniform Single (FOCUS) Report, Form X-17A-5, with the SEC.
The most recent FOCUS Report is available through the SEC’s EDGAR database at:
https://www.sec.gov/edgar/search/
To view the report:
1. Enter “Rothschild Investment, LLC” in the Company Name search field.
2. Select filings for Form X-17A-5 (FOCUS Report).
Clients may also request a copy of the most recent filing directly from our Compliance Department.
