Thomas A. Hodgson

LUTZ FINANCIAL

Omaha, NE 68154-5336

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CRD#: 6112870

Professional summary

Thomas Aubrey Hodgson, CFP®, who also goes by Tom Hodgson, is a registered financial advisor currently at LUTZ FINANCIAL located in Omaha, Nebraska.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Thomas has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Hodgson

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.

1. 01/23/2018 - Investment Center Advisor Group - Investment Related - At Reported Business Location - DBA for LPL Business (entity for LPL business) - Start Date 12/27/2017 - 200 Hours Per Month/200 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Aubrey Hodgson'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®

CFP^®

Certified Financial Planner

Experience

Current

July 20, 2022 - Present

LUTZ FINANCIAL

Office #1: 13616 California Street Suite 300, Omaha, NE 68154-5336

RIA

CRD#: 117273

Omaha, NE

Past

November 29, 2017 - June 13, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

ABERDEEN, SD

Past

November 29, 2017 - June 13, 2022

LPL FINANCIAL LLC

CRD#: 6413

ABERDEEN, SD

Past

August 9, 2017 - November 29, 2017

INVESTMENT CENTERS OF AMERICA, INC.

RIA

CRD#: 16443

ABERDEEN, SD

Past

August 8, 2017 - November 29, 2017

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

ABERDEEN, SD

Past

August 16, 2016 - August 9, 2017

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

Omaha, NE

Past

August 12, 2016 - August 9, 2017

HIGHTOWER SECURITIES, LLC

CRD#: 116681

Omaha, NE

Past

August 19, 2013 - August 16, 2016

MORGAN STANLEY

RIA

CRD#: 149777

OMAHA, NE

Past

July 19, 2013 - August 16, 2016

MORGAN STANLEY

CRD#: 149777

OMAHA, NE

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".

LUTZ FINANCIAL

LUTZ FINANCIAL | LUTZ FINANCIAL SERVICES, LLC

CRD#: 117273 / SEC#: 801-62093

RIA

Registered Investment Advisory firm - (6/4/2003 Approved)

Nebraska

Registered Investment Advisory firm - (6/23/2003 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.

Highlighted states indicate IAR registrations

IAR

Nebraska
(7/20/2022)

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: 8/15/2013

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: 7/19/2013

General Securities Representative Examination

Current Firm

LUTZ FINANCIAL

LUTZ FINANCIAL | LUTZ FINANCIAL SERVICES, LLC

CRD#: 117273 / SEC#: 801-62093

RIA

Registered Investment Advisory firm - (6/4/2003 Approved)

Nebraska

Registered Investment Advisory firm - (6/23/2003 Terminated)

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Contact information

Main Address

13616 California Street Suite 300, Omaha, NE 68154-5336

Mailing Address

Phone number

(402) 827-2300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts	2,386
AUM (Assets Under Management)	$ 2,610,146,179

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 A. Hodgson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Aubrey Hodgson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVESTMENT CENTERS OF AMERICA, INC.

INVESTMENT CENTERS OF AMERICA, INC.

HIGHTOWER ADVISORS, LLC

HIGHTOWER SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

LUTZ FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2013

SIE

Date: 10/1/2018

Series 7

Date: 7/19/2013

Current Firm

LUTZ FINANCIAL

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LUTZ FINANCIAL

TRUST BUT VERIFY

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