Thomas W. Mccarthy

ORION PORTFOLIO SOLUTIONS

Omaha, NE 68130

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CRD#: 4331512

Professional summary

Thomas William Mccarthy IV, who also goes by Tom Mccarthy, is a registered financial advisor currently at ORION PORTFOLIO SOLUTIONS, LLC located in Omaha, Nebraska and BRINKER CAPITAL SECURITIES, LLC located in Berwyn, Pennsylvania.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Mccarthy

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.

ASSETMARK FINANCIAL, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 08/2014 - 160 HRS / MONTHLY, SVP, NATIONAL SALES STRATEGY LEADER OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William Mccarthy IV'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

January 20, 2023 - Present

ORION PORTFOLIO SOLUTIONS, LLC

Office #1: 17605 Wright St, Omaha, NE 68130

RIA

CRD#: 107975

Omaha, NE

Current

January 20, 2023 - Present

BRINKER CAPITAL SECURITIES, LLC

Office #1: 1055 Westlakes Drive Suite 250, Berwyn, PA 19312

CRD#: 38123

Berwyn, PA

Past

August 15, 2014 - November 14, 2022

ASSETMARK BROKERAGE, LLC

CRD#: 169804

Austin, TX

Past

December 4, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 1, 2008 - November 19, 2013

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

CHICAGO, IL

Past

July 2, 2003 - November 14, 2022

ASSETMARK, INC.

RIA

CRD#: 109018

Austin, TX

Past

September 6, 2001 - April 1, 2008

ASSETMARK CAPITAL CORPORATION

CRD#: 37583

CHICAGO, IL

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".

ORION PORTFOLIO SOLUTIONS, LLC

CRD#: 107975 / SEC#: 801-57265

RIA

Registered Investment Advisory firm - (1/1/2000 Approved)

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

IAR

Nebraska
(1/23/2023)

Pennsylvania
(1/20/2023)

IAR

Texas
(1/20/2023)

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: 6/4/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/9/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/5/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/11/2013

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ORION PORTFOLIO SOLUTIONS, LLC

CRD#: 107975 / SEC#: 801-57265

RIA

Registered Investment Advisory firm - (1/1/2000 Approved)

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Contact information

Main Address

17605 Wright St, Omaha, NE 68130

Mailing Address

2300 Litton Lane Suite 100, Hebron, KY 41048

Phone number

(859) 426-2000

Established

Firm type

Fiscal year end

# of Employees

350

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ORION PORTFOLIO SOLUTIONS, LLC FORM ADV PART 2A (8/11/2025)

ORION PORTFOLIO SOLUTIONS, LLC WRAP FEE BROCHURE (8/11/2025)

Regulatory assets under management

Total Number of Accounts	203,878
AUM (Assets Under Management)	$ 57,658,151,186

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
10/21/2024	Cover Page	Report
01/17/2024	Cover Page	Report
10/25/2022	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.

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Firm Stability Insights

Thomas W. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William Mccarthy IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRINKER CAPITAL SECURITIES, LLC

ASSETMARK BROKERAGE, LLC

CAPITAL BROKERAGE CORPORATION

CAPITAL BROKERAGE CORPORATION

ASSETMARK, INC.

ASSETMARK CAPITAL CORPORATION

Primary Firm SEC Registration

ORION PORTFOLIO SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/4/2001

SIE

Date: 10/1/2018

Series 7

Date: 4/9/2002

Series 6

Date: 9/5/2001

Series 26

Date: 12/11/2013

FINRA

Current Firm

ORION PORTFOLIO SOLUTIONS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ORION PORTFOLIO SOLUTIONS, LLC

TRUST BUT VERIFY

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