James R Dawson
Investment adviser representative at Rothschild Wealth LLC
12 yearsExperience
2 statesRegistered in
CFP® certificationDesignation
$1.7BFirm assets
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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 feeCommissionsPerformance-based
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
Experience
12 years in the industry.
- Rothschild Investment LLCApr 2024 to now
- Rothschild Wealth LLCDec 2019 to now
- Halo Securities LLCDec 2019 to Aug 2023
- Charles Schwab BankMar 2015 to Dec 2019
- Charles Schwab & Co., Inc.Jan 2014 to Dec 2019
Designations
- CFP® certification
Exams passed
- Series 63 · Uniform Securities Agent State Law2014
- Series 66 · Uniform Combined State Law2015
State registrations
Registered as an investment adviser representative in 2 states (IL, TX).
Rothschild Wealth LLC
$1.7BAssets managed
3,656Clients
28Advisers
14 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
- 6295621
- Firm CRD
- 162442