Thomas A. Braile

GALLAGHER FIDUCIARY ADVISORS

Irvine, CA 92614

CRD#: 4872723

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Professional summary

Thomas Adam Braile, AIF®, who also goes by Tom Adam Braile, is a registered financial advisor currently at GALLAGHER FIDUCIARY ADVISORS, LLC located in Irvine, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Thomas has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Adam Braile

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 Adam Braile'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

June 15, 2026 - Present

GALLAGHER FIDUCIARY ADVISORS, LLC

Office #1: 2050 Main Street Suite 950, Irvine, CA 92614

RIA

CRD#: 146509

Irvine, CA

Past

April 8, 2021 - June 15, 2026

USI ADVISORS

RIA

CRD#: 108113

Phoenix, AZ

Past

March 25, 2021 - June 15, 2026

USI SECURITIES, INC.

CRD#: 43793

PHOENIX, AZ

Past

April 17, 2019 - December 16, 2020

HOHIMER WEALTH MANAGEMENT, LLC

RIA

CRD#: 300140

SEATTLE, WA

Past

February 19, 2009 - April 18, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SEATTLE, WA

Past

February 19, 2009 - April 18, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SEATTLE, WA

Past

February 5, 2008 - March 4, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEATTLE, WA

Past

February 5, 2008 - March 4, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SEATTLE, WA

Past

July 12, 2007 - January 15, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SEATTLE, WA

Past

May 10, 2007 - January 15, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SEATTLE, WA

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".

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 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.

Highlighted states indicate IAR registrations

IAR

California
(6/15/2026)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/11/2007

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: 5/9/2007

General Securities Representative Examination

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 Approved)

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Contact information

Main Address

2850 Golf Road, Rolling Meadows, IL 60008

Mailing Address

Phone number

(212) 330-1011

Established

Firm type

Fiscal year end

# of Employees

221

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR RETAIL CLIENTS (4/22/2025)

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR INSTITUTIONAL CLIENTS (4/22/2025)

Regulatory assets under management

Total Number of Accounts	5,754
AUM (Assets Under Management)	$ 180,614,282,519

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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Advisor Monitoring

Firm Stability Insights

Thomas A. Braile

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Adam Braile's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI ADVISORS

USI SECURITIES, INC.

HOHIMER WEALTH MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

GALLAGHER FIDUCIARY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/11/2007

SIE

Date: 10/1/2018

Series 7

Date: 5/9/2007

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GALLAGHER FIDUCIARY ADVISORS, LLC

TRUST BUT VERIFY

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