DO
Daniel T. Ohgi
AQR INVESTMENTS
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 4017389
DO
Professional summary
Daniel T Ohgi is a registered financial professional currently at AQR INVESTMENTS, LLC located in Greenwich, Connecticut.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2002. Daniel has worked at 4 firms and has passed the Series 63, Series 3, SIE, Series 7 and Series 30 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel T Ohgi's 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®
NoneExperience
Current
January 10, 2025 - Present
AQR INVESTMENTS, LLC
Office #1: One Greenwich Plaza Suite 130, Greenwich, CT 06830BD
CRD#: 289244
Greenwich, CT
Past
August 25, 2023 - December 23, 2024
BARINGS SECURITIES LLC
BD
CRD#: 36929
CHARLOTTE, NC
Past
May 23, 2019 - August 24, 2022
AQR INVESTMENTS, LLC
BD
CRD#: 289244
Santa Monica, CA
Past
November 13, 2008 - April 16, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HOUSTON, TX
Past
October 22, 2002 - June 15, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(1/10/2025)
RR
Alaska(1/10/2025)
RR
Arizona(1/10/2025)
RR
Arkansas(1/10/2025)
RR
California(1/10/2025)
RR
Colorado(1/10/2025)
RR
Connecticut(1/10/2025)
RR
Delaware(1/10/2025)
RR
District of Columbia(1/10/2025)
RR
Florida(1/10/2025)
RR
Georgia(1/10/2025)
RR
Hawaii(1/10/2025)
RR
Idaho(1/10/2025)
RR
Illinois(1/10/2025)
RR
Indiana(1/10/2025)
RR
Iowa(1/10/2025)
RR
Kansas(1/10/2025)
RR
Kentucky(1/10/2025)
RR
Louisiana(1/10/2025)
RR
Maine(1/10/2025)
RR
Maryland(1/10/2025)
RR
Massachusetts(1/10/2025)
RR
Michigan(1/10/2025)
RR
Minnesota(1/10/2025)
RR
Mississippi(1/10/2025)
RR
Missouri(1/10/2025)
RR
Montana(1/10/2025)
RR
Nebraska(1/10/2025)
RR
Nevada(1/10/2025)
RR
New Hampshire(1/10/2025)
RR
New Jersey(1/10/2025)
RR
New Mexico(1/10/2025)
RR
New York(1/10/2025)
RR
North Carolina(1/10/2025)
RR
North Dakota(1/10/2025)
RR
Ohio(1/13/2025)
RR
Oklahoma(1/10/2025)
RR
Oregon(1/10/2025)
RR
Pennsylvania(1/10/2025)
RR
Rhode Island(1/10/2025)
RR
South Carolina(1/10/2025)
RR
South Dakota(1/10/2025)
RR
Tennessee(1/10/2025)
RR
Texas(1/10/2025)
RR
Utah(1/10/2025)
RR
Vermont(1/10/2025)
RR
Virginia(1/10/2025)
RR
Washington(1/10/2025)
RR
West Virginia(1/10/2025)
RR
Wisconsin(1/10/2025)
RR
Wyoming(1/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AQR INVESTMENTS, LLC
AQR INVESTMENTS, LLC
CRD#: 289244 / SEC#: , 8-69990
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Greenwich Plaza Suite 130, Greenwich, CT 06830
Mailing Address
One Greenwich Plaza Suite 130, Greenwich, CT 06830
Phone number
(203) 742-3600
Established
Delaware since 03/15/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AQR CAPITAL MANAGEMENT HOLDINGS (B-D), LLC | PARENT COMPANY | |
| ANDRADE, GREGOR MASINI | CHIEF EXECUTIVE OFFICER | 2265718 |
| HOWARD, JOHN BRADLEY | BOARD OF MANAGERS | 3132622 |
| KABILLER, DAVID GARY | BOARD OF MANAGERS | 1736385 |
| MELLAS, STEPHEN JOSEPH | BOARD OF MANAGERS | 1505043 |
| PRINCE, STEPHANIE NICOLE | CHIEF COMPLIANCE OFFICER | 2618015 |
| RYAN, PATRICK EDMUND | CHIEF FINANCIAL OFFICER | 2822527 |
| WILLCOX, HERBERT JAMES | BOARD OF MANAGERS & CHIEF LEGAL OFFICER | 1868426 |
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.
