Benjamen Rothwell has been Director of RIA Compliance of Western Wealth Management since January 2023, is not listed as a control person, but directly owns under 5% of the firm.
Western Wealth Management LLC is a Golden, CO firm with $5.36B under management, 11,253 clients and 95 advisers across 41 offices, as of its June 2026 filing.
Benjamen Rothwell’s longest registration was 6 years at Independent Financial Group, LLC (2013–2020). Before joining Western Wealth Management in 2020, Benjamen Rothwell was registered through Independent Financial Group, LLC and LPL Financial LLC.
- – present · 6 yearsNeskowin, OR · Adviser representative · Firm CRD 283545
- LPL Financial LLCAlso current– present · 6 yearsNeskowin, OR · Adviser representative and broker · Firm CRD 6413
- Independent Financial Group, LLC– · 6 yearsSan Diego, CA · Adviser representative · Firm CRD 7717
- LPL Financial LLC– · 4 yearsSan Diego, CA · Adviser representative · Firm CRD 6413
- Lincoln Financial Advisors Corporation– · 1 yearLajolla, CA · Adviser representative · Firm CRD 3978
Investment adviser representative registrations
Benjamen Rothwell is registered as an investment adviser representative in 2 states. The first approvals date from April 2020; the most recent is Oregon, in September 2021.
- CaliforniaSince 22 April 2020
- OregonSince 28 September 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 20 October 2008 |
| Series 66 | Uniform Combined State Law Examination | 14 December 2005 |
| Series 7 | General Securities Representative Examination | 19 October 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Benjamen Rodney Rothwell
- CRD
- 4916767
- Firm
- Western Wealth Management · CRD 283545
- Role
- Director of RIA Compliance
- Office
- Neskowin, OR
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Benjamen Rothwell work?
Benjamen Rothwell has been Director of RIA Compliance of Western Wealth Management LLC since January 2023.
Is Benjamen Rothwell a financial advisor?
Yes. Benjamen Rothwell has a current investment-adviser registration in California and Oregon, through Western Wealth Management since April 2020.
How many years of experience does Benjamen Rothwell have?
Benjamen Rothwell has 20 years in the financial industry, since August 2006, across 4 adviser firms.
What exams has Benjamen Rothwell passed?
Benjamen Rothwell has passed 3 licensing exams: the Series 7, Series 66 and Series 24. The earliest, the Series 7, was passed in October 2005. FINRA credited Benjamen Rothwell with the SIE, which began in October 2018.
Where did Benjamen Rothwell work before Western Wealth Management?
Before Western Wealth Management, Benjamen Rothwell was registered through Independent Financial Group, LLC, August 2013 to March 2020; LPL Financial LLC, May 2007 to March 2012; Lincoln Financial Advisors Corporation, December 2005 to April 2007.
Where is Benjamen Rothwell based?
Benjamen Rothwell’s registered office is in Neskowin, OR.
Is Benjamen Rothwell registered with FINRA?
Yes. Benjamen Rothwell has a current broker registration, under CRD 4916767.
Source: FINRA BrokerCheck
How can I verify Benjamen Rothwell’s record?
Search CRD 4916767 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Benjamen Rothwell’s full registration record.
- Kara JettChief Compliance Officer
- Lisa EsslingerDirector of Branch Development/Partner
- Julie GaffneyDirector of Accounting & Registrations
- Caden RussellAdministrative Specialist & Partner