Thomas J. Ogrady

LPL ENTERPRISE

ROSEMONT, IL 60018

Some features on this profile are disabled

CRD#: 3093390

Professional summary

Thomas James Ogrady, who also goes by Thomas Hinkey, Thomas James Ogrady, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Rosemont, Illinois.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Hinkey | Thomas James 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Ogrady's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thomas James Ogrady's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 10275 W Higgins Road Suite 200, Rosemont, IL 60018Office #2: 10000 W Innovation Drive Suite 190, Wauwatosa, WI 53226Office #3: 1901 Butterfield Road Suite 250, Downers Grove, IL 60515Office #4: 20 North Wacker Drive Suite 3010, Chicago, IL 60606

RIA

CRD#: 8733

ROSEMONT, IL

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

ROSEMONT, IL

Past

December 2, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

DOWNERS GROVE, IL

Past

December 2, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

DOWNERS GROVE, IL

Past

January 17, 2012 - December 8, 2020

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DOWNERS GROVE, IL

Past

March 30, 2007 - December 8, 2020

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DOWNERS GROVE, IL

Past

August 10, 1998 - March 19, 2007

NYLIFE SECURITIES LLC

CRD#: 5167

HARRISBURG, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/14/2024)

Arkansas
(11/14/2024)

California
(11/14/2024)

Colorado
(11/14/2024)

District of Columbia
(11/14/2024)

Florida
(11/15/2024)

Georgia
(11/14/2024)

Illinois
(11/14/2024)

IAR

Illinois
(11/14/2024)

Indiana
(11/14/2024)

Iowa
(11/14/2024)

Kentucky
(11/14/2024)

Louisiana
(11/14/2024)

Maryland
(11/14/2024)

Michigan
(11/14/2024)

Minnesota
(11/14/2024)

Mississippi
(11/14/2024)

Missouri
(11/14/2024)

Montana
(11/14/2024)

New Jersey
(11/14/2024)

New York
(11/14/2024)

North Carolina
(11/14/2024)

Ohio
(11/14/2024)

Oregon
(11/14/2024)

South Dakota
(11/14/2024)

Texas
(11/14/2024)

IAR

Texas
(11/14/2024)

Utah
(11/14/2024)

West Virginia
(11/14/2024)

Wisconsin
(11/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/14/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/8/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/15/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/8/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/10/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

Red Flags

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

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas J. Ogrady

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Ogrady's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas James Ogrady's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/14/2012

Series 63

Date: 8/8/1998

SIE

Date: 10/1/2018

Series 7

Date: 5/15/2003

Series 6

Date: 8/8/1998

Series 24

Date: 5/10/2005

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

Similar Advisors