Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Charles Baby is a registered representative with Rothschild Investment LLC. Stephen has been in the financial services industry since August 14, 2017. Stephen is licensed to sell securities in Illinois, Michigan, South Dakota, Florida and Wisconsin. Stephen has a Series 7 and Series 63 license. Stephen also has a Series 65 license. Stephen worked for J.P. Morgan Securities LLC from June 13, 2018 to April 30, 2022. Stephen also worked for Ronin Capital, LLC from April 8, 2011 to February 9, 2012. Stephen is a financial advisor with a focus on providing investment advice to individuals, businesses, corporations, charitable organizations and pension and profit sharing plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
IL
05/06/2022 - Present
Rothschild Investment LLC (CHICAGO IL)
IL
06/13/2018 - 04/30/2022
J.P. MORGAN SECURITIES LLC (Winnetka IL)
IL
04/08/2011 - 02/09/2012
RONIN CAPITAL, LLC (CHICAGO IL)
IA
Issued 04/28/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/12/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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