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Thomas M. Rohrer

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CRD#: 858539
TR

Professional summary

Thomas Michael Rohrer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Thomas had worked at 11 firms, which includes CHICAGO INVESTMENT GROUP LLC, GUNNALLEN FINANCIAL INC, ACCESS FINANCIAL GROUP INC., GLEACHER & COMPANY SECURITIES INC., RODMAN & RENSHAW INC., PRINCIPAL FINANCIAL SECURITIESINC., HAMILTON INVESTMENTS INC., CIBC WORLD MARKETS CORP., LEHMAN BROTHERS INC., J.P. MORGAN SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 22, 2002 - August 20, 2003

CHICAGO INVESTMENT GROUP, LLC

BD
CRD#: 11853
CHICAGO, IL
Past

January 24, 2001 - December 18, 2002

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

August 19, 1999 - January 12, 2001

ACCESS FINANCIAL GROUP, INC.

BD
CRD#: 33065
CHICAGO, IL
Past

July 18, 1997 - September 1, 1999

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

August 9, 1995 - July 25, 1997

RODMAN & RENSHAW INC.

BD
CRD#: 724
CHICAGO, IL
Past

September 1, 1994 - August 3, 1995

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX
Past

March 2, 1993 - September 1, 1994

HAMILTON INVESTMENTS, INC.

BD
CRD#: 821
Past

June 7, 1991 - February 24, 1993

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

November 21, 1988 - June 12, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

December 22, 1986 - November 30, 1988

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

May 22, 1984 - January 12, 1987

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

November 1, 1978 - June 11, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/31/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1978
General Securities Representative Examination

Current Firm

CI
CHICAGO INVESTMENT GROUP, LLC
CHICAGO INVESTMENT GROUP | G. A. O. INC. | G A O INC | CHICAGO INVESTMENT GROUP, LLC | CHICAGO INVESTMENT GROUP, INC.

CRD#: 11853 / SEC#: , 8-27507

BD
Terminated by SEC on 09/07/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COMPASS CAPITAL MANAGEMENT INTERNATIONAL, LLCOWNER
MERRITT HOLDINGS II LLCSHAREHOLDER
BULLARD, ROBERT JONATHANOPS. MGR / RSOFP2975440
LYNCH, JAMES PATRICKMANAGING DIRECTOR2387056
LYNCH, RICHARD PAULCEO/ CCO1938604

Disclosures

Regulatory Event16
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

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