Thomas M. Obrien

ROTHSCHILD WEALTH LLC

Oakbrook, IL 60523

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CRD#: 5230392

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 Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mac O'brien | Thomas Mccarthy O'brien

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.

MR. O'BRIEN IS A SILENT EQUITY PARTNER OF TRAIN,LLC LOCATED AT 433 PENNSYLVANIA, GLEN ELLYN, IL 60137. TRAIN, LLC IS A PRIVATE WORKOUT FACILITY WHERE MR. O'BRIEN SERVES ON A SUB-COMMITTEE FOR RULES AND BYLAWS FOR ONE HOUR PER MONTH. THIS ACTIVITY IS NON-INVESTMENT RELATED. ROTHSCHILD WEALTH LLC INVESTMENT ADVISER INVESTMENT ADVISER REPRESENTATIVE SINCE 05/2025 INVESTMENT RELATED ROTHSCHILD INVESTMENTS BROKER DEALER REGISTERED REPRESENTATIVE SINCE 05/2025 INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Mccarthy Obrien'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

May 12, 2025 - Present

ROTHSCHILD WEALTH LLC

Office #1: 700 Commerce Drive Suite 170, Oakbrook, IL 60523

RIA

CRD#: 162442

Oakbrook, IL

Current

May 12, 2025 - Present

ROTHSCHILD INVESTMENT LLC

Office #1: 311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618

RIA

CRD#: 728

Chicago, IL

Past

February 11, 2024 - May 2, 2025

MORNINGSTAR INVESTMENT SERVICES LLC

CRD#: 112525

CHICAGO, IL

Past

January 9, 2024 - May 2, 2025

MORNINGSTAR INVESTMENT SERVICES LLC

RIA

CRD#: 112525

CHICAGO, IL

Past

June 8, 2022 - August 31, 2022

GRAYSCALE SECURITIES, LLC

CRD#: 305907

STAMFORD, CT

Past

June 8, 2022 - August 31, 2022

GENESIS GLOBAL TRADING, INC

CRD#: 136962

NEW YORK, NY

Past

January 2, 2018 - June 13, 2022

ASTOR INVESTMENT MANAGEMENT LLC

RIA

CRD#: 169679

CHICAGO, IL

Past

November 30, 2016 - June 9, 2022

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

May 20, 2015 - October 5, 2016

DCM BROKERS, LLC

CRD#: 144158

CHICAGO, IL

Past

November 10, 2014 - March 17, 2015

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Chicago, IL

Past

February 17, 2011 - August 12, 2014

DCM BROKERS, LLC

CRD#: 144158

CHICAGO, IL

Past

September 7, 2009 - January 14, 2011

LBMZ SECURITIES, INC.

CRD#: 7874

CHICAGO, IL

Past

July 4, 2007 - January 26, 2011

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

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".

ROTHSCHILD WEALTH LLC

REYNOLDS WEALTH, LLC | SENTINUS, LLC | ROTHSCHILD WEALTH LLC

CRD#: 162442 / SEC#: 801-74818

RIA

Registered Investment Advisory firm - (4/16/2012 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

Illinois
(5/12/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/18/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/10/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/2/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/15/2014

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/5/2009

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

ROTHSCHILD WEALTH LLC

REYNOLDS WEALTH, LLC | SENTINUS, LLC | ROTHSCHILD WEALTH LLC

CRD#: 162442 / SEC#: 801-74818

RIA

Registered Investment Advisory firm - (4/16/2012 Approved)

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Contact information

Main Address

700 Commerce Drive Suite 170, Oakbrook, IL 60523

Mailing Address

Phone number

(630) 448-5711

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROTHSCHILD WEALTH ADV PART 2A (4/29/2025)

Regulatory assets under management

Total Number of Accounts	2,878
AUM (Assets Under Management)	$ 751,143,585

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 M. Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ROTHSCHILD INVESTMENT LLC

MORNINGSTAR INVESTMENT SERVICES LLC

MORNINGSTAR INVESTMENT SERVICES LLC

GRAYSCALE SECURITIES, LLC

GENESIS GLOBAL TRADING, INC

ASTOR INVESTMENT MANAGEMENT LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

DCM BROKERS, LLC

FORESIDE FUND SERVICES, LLC

DCM BROKERS, LLC

LBMZ SECURITIES, INC.

ZACKS INVESTMENT MANAGEMENT, INC.

Primary Firm SEC Registration

ROTHSCHILD WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/2017

Series 63

Date: 11/10/2009

Series 65

Date: 7/2/2007

SIE

Date: 10/1/2018

Series 31

Date: 4/15/2014

Series 7

Date: 9/5/2009

FINRA

Nasdaq Stock Market

Current Firm

ROTHSCHILD WEALTH LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROTHSCHILD WEALTH LLC

TRUST BUT VERIFY

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