Thomas Mccarthy Obrien
Professional Summary
Thomas Mccarthy Obrien, who also goes by Mac O'brien, Thomas Mccarthy O'brien, is a registered financial advisor currently at ROTHSCHILD WEALTH LLC located in Oakbrook, Illinois and ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 11 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mac O'brien, Thomas Mccarthy O'brien
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
REYNOLDS WEALTH, LLC | SENTINUS, LLC | ROTHSCHILD WEALTH LLC
Contact Information
Main Address
700 Commerce Drive Suite 170, Oakbrook, IL 60523Phone Number
(630) 448-5711# of Employees
27SEC notice filing (17 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,656AUM (Assets Under Management)
$1,697,509,307Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/29/2026 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
REYNOLDS WEALTH, LLC | SENTINUS, LLC | ROTHSCHILD WEALTH LLC
State Registrations and Notice Filings
(5/12/2025)
(12/8/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Mccarthy Obrien's CRS (Customer Relationship Summary).
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