Stephen Charles Baby
Investment adviser representative at Rothschild Investment
12 yearsExperience
1 stateRegistered in
$2.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feePerformance-based
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- Rothschild Investment CorporationMay 2022 to now
- JPMorgan Chase Bank NAApr 2018 to May 2022
- JPMorgan Securities LLCApr 2018 to May 2022
- Ronin Capital LLCNov 2016 to Apr 2018
- Wilgrove Capital LLCMar 2014 to Nov 2016
Exams passed
- Series 63 · Uniform Securities Agent State Law2018
- Series 65 · Uniform Investment Adviser Law2022
State registrations
Registered as an investment adviser representative in 1 state (IL).
Rothschild Investment
Legal name: Rothschild Investment LLC
$2.8BAssets managed
1,246Clients
14Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5879922
- Firm CRD
- 728