Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Mccarthy O'Brien has been in the financial services industry since 2009. Thomas is currently registered as a Registered Investment Advisor representative with Morningstar Investment Services LLC. Prior to that, Thomas has worked with several other firms including Genesis Global Trading, Inc, Grayscale Securities, LLC, and Northern Lights Distributors, LLC. Thomas holds a Series 63, 65, and 66. In addition to his Series 63, 65, and 66, Thomas also holds the SIE, Series 31, and Series 7. Thomas is a silent equity partner of Train, LLC, a private workout facility.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Aua
1
2
IL
01/09/2024 - Present
Morningstar Investment Services LLC (CHICAGO IL)
NY
06/08/2022 - 08/31/2022
GENESIS GLOBAL TRADING, INC (NEW YORK NY)
CT
06/08/2022 - 08/31/2022
GRAYSCALE SECURITIES, LLC (STAMFORD CT)
NE
11/30/2016 - 06/09/2022
NORTHERN LIGHTS DISTRIBUTORS, LLC (ELKHORN NE)
IL
05/20/2015 - 10/05/2016
DCM BROKERS, LLC (CHICAGO IL)
IL
11/10/2014 - 03/17/2015
FORESIDE FUND SERVICES, LLC (Chicago IL)
IL
02/17/2011 - 08/12/2014
DCM BROKERS, LLC (CHICAGO IL)
IL
09/07/2009 - 01/14/2011
ZACKS & COMPANY (CHICAGO IL)
BOTH
Issued 12/18/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/10/2009
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 07/02/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/2014
Series 31 - Futures Managed Funds Examination
BC
Issued 09/05/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Thomas Obrien is the right advisor for you? Invested Better is here to help.
