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Teresa M. O'grady

Some features on this profile are disabled
CRD#: 2039006
TO

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Teresa Marie O'grady, who also goes by Teresa O'grady, Teresa M Ogrady, was a registered financial professional .

Teresa is a previously registered financial professional and started their career in finance in 1994. Teresa had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Teresa O'grady | Teresa M Ogrady

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Notary Public - 2/2018 to Present. Duties include notarizing documents when requested and upholding the notary guidelines and requirements in the State of Nebraska. Not investment related. 754 Palamino Road, Omaha, NE 68154. 1 hr/year spent on this activity, not during normal business hours. 2) RIA Compliance Consultants, Inc. - 6/2016 to Present. Duties include providing investment adviser registration and compliance services to investment adviser clients. Investment related. 6910 Pacific St, Suite 102, Omaha, NE 68106. 40 hrs/week spent on this activity, all during normal business hours. 3) Personal Representative for Sister-In-Law's Estate - 7/2020 to Present. Not investment related. Duties include working with estate attorney to move all assets to the estate and sell the property. Sister-in-law is not and was not a client of O'Grady Financial Services LLC. 754 Palamino Road, Omaha, NE 68154. 1 hr/week spent on this activity, not during normal business hours.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 22, 2018 - December 31, 2024

O'GRADY FINANCIAL SERVICES LLC

RIA
CRD#: 292707
OMAHA, NE
Past

May 6, 2008 - June 2, 2016

SMITH HAYES ADVISERS INC

RIA
CRD#: 110776
OMAHA, NE
Past

July 12, 2005 - June 2, 2016

SMITH HAYES FINANCIAL SERVICES CORPORATION

BD
CRD#: 17059
OMAHA, NE
Past

January 26, 1999 - January 14, 2005

KFS BD, INC.

BD
CRD#: 490
OMAHA, NE
Past

February 25, 1994 - February 2, 1999

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/24/2008
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/5/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/30/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/2/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/24/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/3/2004
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/1/1994
General Securities Principal Examination

Current Firm

OF
O'GRADY FINANCIAL SERVICES LLC
O'GRADY FINANCIAL SERVICES LLC

CRD#: 292707 / SEC#:

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Contact information

Main Address
754 Palamino Rd., Omaha, NE 68154
Mailing Address
Phone number
(402) 709-3717
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

O'GRADY FINANCIAL SERVICES LLC

CRD#: 292707

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