Thomas E. Aagaard

AMPLIFY INVESTMENTS LLC

Lisle, IL 60532

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CRD#: 5569194

Professional summary

Thomas Engwall Aagaard, who also goes by Thomas E Aagaard, Tom Aagaard, is a registered financial advisor currently at AMPLIFY INVESTMENTS LLC located in Lisle, Illinois and FORESIDE FUND SERVICES, LLC located in Lisle, Illinois.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Thomas has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas E Aagaard | Tom Aagaard

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.

Amplify Investment LLC, Wheaton, IL, Investment Related-RIA/RIC ETF issuer, start date 04/15/2019, Vice President of Distribution, 160 hours per month with150 hours per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Engwall Aagaard'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®

None

Experience

Current

September 5, 2018 - Present

AMPLIFY INVESTMENTS LLC

Office #1: 3333 Warrenville Road #350, Lisle, IL 60532

RIA

CRD#: 173781

Lisle, IL

Current

May 8, 2019 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 3333 Warrenville Road Suite 350, Lisle, IL 60532

CRD#: 46106

Lisle, IL

Past

February 21, 2018 - February 4, 2019

AUSDAL FINANCIAL PARTNERS, INC.

CRD#: 7995

DAVENPORT, IA

Past

March 5, 2015 - September 2, 2016

DESTRA CAPITAL ADVISORS LLC

RIA

CRD#: 148574

CHICAGO, IL

Past

March 5, 2015 - September 2, 2016

DESTRA CAPITAL INVESTMENTS LLC

CRD#: 148299

Chicago, IL

Past

August 22, 2014 - February 25, 2015

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WHEATON, IL

Past

August 22, 2014 - February 25, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

WHEATON, IL

Past

June 11, 2013 - June 26, 2014

FORESIDE FUND SERVICES, LLC

CRD#: 46106

LISLE, IL

Past

October 24, 2011 - April 16, 2013

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

LISLE, IL

Past

August 8, 2011 - April 16, 2013

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

LISLE, IL

Past

June 16, 2011 - July 7, 2011

MML INVESTORS SERVICES, LLC

CRD#: 10409

INDIANAPOLIS, IN

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".

AMPLIFY INVESTMENTS LLC

AMPLIFY ETFS | AMPLIFY INVESTMENTS LLC

CRD#: 173781 / SEC#: 801-80692

RIA

Registered Investment Advisory firm - (1/2/2015 Approved)

Illinois

Registered Investment Advisory firm - (12/8/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(9/5/2018)

Illinois
(5/8/2019)

Kansas
(1/2/2025)

Missouri
(4/4/2025)

Nebraska
(1/2/2025)

Tennessee
(4/4/2025)

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

State Security Law Exam

IAR

Series 65

Date: 10/21/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/9/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

AMPLIFY INVESTMENTS LLC

AMPLIFY ETFS | AMPLIFY INVESTMENTS LLC

CRD#: 173781 / SEC#: 801-80692

RIA

Registered Investment Advisory firm - (1/2/2015 Approved)

Illinois

Registered Investment Advisory firm - (12/8/2014 Terminated)

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Contact information

Main Address

3333 Warrenville Road #350, Lisle, IL 60532

Mailing Address

Phone number

(630) 487-2530

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

AMPLIFY INVESTMENTS ADV PART 2 12-31-2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	32
AUM (Assets Under Management)	$ 10,091,060,461

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 E. Aagaard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Engwall Aagaard's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

AUSDAL FINANCIAL PARTNERS, INC.

DESTRA CAPITAL ADVISORS LLC

DESTRA CAPITAL INVESTMENTS LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

FORESIDE FUND SERVICES, LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

AMPLIFY INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/2011

Series 63

Date: 9/9/2011

SIE

Date: 10/1/2018

Series 7

Date: 6/15/2011

FINRA

Current Firm

AMPLIFY INVESTMENTS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMPLIFY INVESTMENTS LLC

TRUST BUT VERIFY

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