Matthew Rothchild has been Chief Compliance Officer of Commonwealth Financial Services since June 2024, is a control person of the firm and directly owns under 5% of it.
Commonwealth Financial Services, LLC. is a Vienna, WV firm with $995M under management, 2,271 clients and 13 advisers across 5 offices, as of its August 2026 filing.
Matthew Rothchild’s longest registration was 7 years at Efs Advisors (2013–2021).
- Private Wealth Asset Management– · under a yearCedar Rapids, IA · Adviser representative · Firm CRD 315819
- Private Wealth Asset Management– · under a yearCedar Rapids, IA · Adviser representative · Firm CRD 315819
- Advanced Advisor Group, LLC– · 7 yearsCambridge, MN · Adviser representative · Firm CRD 140393
- Efs Advisors– · 7 yearsCambridge, MN · Adviser representative · Firm CRD 115211
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 18 September 2026 |
| Series 54 | Municipal Advisor Principal Qualification Examination | 28 August 2024 |
| Series 50 | Municipal Advisor Representative Qualification Exam | 12 August 2024 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 57TO | Securities Trader Exam | 4 November 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 14 October 2013 |
| Series 24 | General Securities Principal Examination | 15 February 2013 |
| Series 66 | Uniform Combined State Law Examination | 4 October 2011 |
| Series 7 | General Securities Representative Examination | 4 June 2011 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Municipal Advisor Principal Qualification Examination
- Name
- Municipal Advisor Representative Qualification Exam
- Name
- Operations Professional Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Trader Exam
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Matthew David Rothchild
- CRD
- 5143603
- Firm
- Commonwealth Financial Services · CRD 324930
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Matthew Rothchild work?
Matthew Rothchild has been Chief Compliance Officer of Commonwealth Financial Services, LLC. since June 2024, and is a control person of the firm.
Does Matthew Rothchild have a current investment-adviser registration?
Matthew Rothchild has a current broker registration and no current investment-adviser registration.
What exams has Matthew Rothchild passed?
Matthew Rothchild has passed 10 licensing exams: the Series 7, Series 66, Series 24, Series 53, Series 57TO, Series 99TO, Series 52TO, Series 50, Series 54 and Series 63. The earliest, the Series 7, was passed in June 2011. FINRA credited Matthew Rothchild with the SIE, which began in October 2018.
Where was Matthew Rothchild previously registered as an investment adviser?
Matthew Rothchild has past investment-adviser registrations through Private Wealth Asset Management, February 2022 to October 2022; Private Wealth Asset Management, September 2021 to December 2021; Advanced Advisor Group, LLC, November 2013 to August 2021; Efs Advisors, August 2013 to August 2021, across 3 firms.
Is Matthew Rothchild registered with FINRA?
Yes. Matthew Rothchild has a current broker registration, under CRD 5143603.
Source: FINRA BrokerCheck
How can I verify Matthew Rothchild’s record?
Search CRD 5143603 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Matthew Rothchild’s full registration record.
