Thomas M. O'gorman

AP WEALTH MANAGEMENT

Augusta, GA 30909

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CRD#: 6486292

Professional summary

Thomas M O'gorman is a registered financial advisor currently at AP WEALTH MANAGEMENT located in Augusta, Georgia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Thomas has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 M O'gorman'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

August 18, 2016 - Present

AP WEALTH MANAGEMENT

Office #1: 1100 Frazier Drive, Augusta, GA 30909

RIA

CRD#: 156417

Augusta, GA

Past

August 20, 2016 - March 26, 2019

AUGUSTA CAPITAL INVESTORS, LLC

RIA

CRD#: 168607

AUGUSTA, GA

Past

August 28, 2015 - August 15, 2016

EQUUS MANAGEMENT

RIA

CRD#: 175452

MARTINEZ, GA

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".

AP WEALTH MANAGEMENT

AP WEALTH MANAGEMENT | AP WEALTH MANAGEMENT, LLC

CRD#: 156417 / SEC#: 801-107514

RIA

Registered Investment Advisory firm - (3/28/2016 Approved)

Georgia

Registered Investment Advisory firm - (3/29/2016 Terminated)

South Carolina

Registered Investment Advisory firm - (3/29/2016 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

Georgia
(8/29/2016)

IAR

South Carolina
(8/18/2016)

IAR

Texas
(5/9/2019)

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 65

Date: 8/24/2015

Uniform Investment Adviser Law Examination

Current Firm

AP WEALTH MANAGEMENT

AP WEALTH MANAGEMENT | AP WEALTH MANAGEMENT, LLC

CRD#: 156417 / SEC#: 801-107514

RIA

Registered Investment Advisory firm - (3/28/2016 Approved)

Georgia

Registered Investment Advisory firm - (3/29/2016 Terminated)

South Carolina

Registered Investment Advisory firm - (3/29/2016 Terminated)

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Contact information

Main Address

1100 Frazier Drive, Augusta, GA 30909

Mailing Address

Phone number

(706) 364-4281

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APWM BROCHURE PARTS 2A AND 2B (1/16/2025)

Regulatory assets under management

Total Number of Accounts	294
AUM (Assets Under Management)	$ 294,000,868

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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Thomas M. O'gorman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas M O'gorman's CRS (Customer Relationship Summary).

Certified licenses

Experience

AP WEALTH MANAGEMENT

AUGUSTA CAPITAL INVESTORS, LLC

EQUUS MANAGEMENT

Primary Firm SEC Registration

AP WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/2015

Current Firm

AP WEALTH MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AP WEALTH MANAGEMENT

TRUST BUT VERIFY

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