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Phillip Eugene Johnson

Investment Adviser Representative at ROTHSCHILD INVESTMENT

Oakbrook, ILCRD #2491084Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
31 yrs
States Registered
1 states
Exams Passed
10

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Phillip Eugene Johnson has worked in the securities industry since 1995. They are registered to provide investment advisory services in Illinois.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Illinois
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/31/2018
Series 63
Uniform Securities Agent State Law Examination
Passed 6/21/1994
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
Series 99
Operations Professional Examination
Passed 1/2/2023
Series 79
Investment Banking Registered Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/11/1994
Series 14
Compliance Officer Examination
Passed 1/2/2023
Series 24
General Securities Principal Examination
Passed 9/1/2011
Series 27
Financial and Operations Principal Examination
Passed 5/26/1995

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.0125
Asset tierAnnual rate
First $3,000,0001.25%
Next $4,000,0001.00%
Next $8,000,0000.75%
Over $15,000,0000.50%
Source

Rothschild Investment Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ROTHSCHILD WEALTH LLCCurrent
1/1/2019Oakbrook, IL
HALO SECURITIES, LLC
2/16/20178/1/2023Oak Brook, IL
INCAPITAL INSURANCE SERVICES, LLC
10/20/20111/28/2016Chicago, IL
INCAPITAL LLC
7/26/20001/28/2016Chicago, IL
ABN AMRO INVESTMENT SERVICES, INC.
2/2/19977/6/2000Chicago, IL
ABN AMRO CHICAGO CORPORATION
3/17/19951/27/1997Stamford, CT
ABN AMRO INVESTMENT SERVICES, INC.
5/10/19943/24/1995Chicago, IL

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Phillip Eugene Johnson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Phillip Eugene Johnson - Financial Advisor in Oakbrook, IL | AdvisorFinder